Gennadi Plotitz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gennadi Plotitz, who also goes by Gene Plotitz, Gene Taylor, was a registered financial professional .
Gennadi is a previously registered financial professional and started their career in finance in 1994. Gennadi had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2001 - May 21, 2004
US TRADING LLC
April 18, 2000 - May 29, 2001
US TRADING LLC
October 26, 1998 - January 21, 1999
BENSON YORK GROUP, INC.
March 7, 1998 - September 22, 1998
GLOBAL FINANCIAL GROUP, INC.
June 27, 1997 - April 6, 1998
GREAT AMERICAN FINANCIAL NETWORK, INC.
September 3, 1994 - May 9, 1995
BUTTONWOOD SECURITIES, INC.
April 29, 1994 - June 1, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 17, 1994 - March 4, 1994
J. GREGORY & COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
US TRADING LLC
CRD#: 37426 / SEC#: , 8-47729
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARLIN GROUP LLC | OWNER OF US TRADING LLC | |
| COAKLEY, JOHN JOSEPH | ROP | 1852324 |
| COAKLEY, JOHN JOSEPH | SROP | 1852324 |
| COAKLEY, JOHN JOSEPH | CROP | 1852324 |
| FROMMER, JEREMY PHILLIP | PRESIDENT/ COO | 2099159 |
| KORNFELD, LYNDA ANN | CHIEF COMPLIANCE OFFICER | 3162347 |
| RISI, SALVATORE ANTHONY | FIN-OP | 1072513 |
| RONAN, DENNIS MICHAEL | ORDER ROOM MANAGER | 1020860 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
