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MP

Marc H. Plotkin

Some features on this profile are disabled
CRD#: 364658
MP

Professional summary

Marc Hugh Plotkin was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Marc is a previously registered financial professional and started their career in finance in 1969. Prior to being barred, Marc had worked at 10 firms, which includes GILFORD SECURITIES INCORPORATED, MORGAN STANLEY DW INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, UBS FINANCIAL SERVICES INC., ADVEST INC., BURGESS & LEITH INCORPORATED, L. F. ROTHSCHILD & CO. INCORPORATED, J.P. MORGAN SECURITIES LLC, NEUBERGER SECURITIES CORP., SCHEINMAN HOCHSTEIN & TROTTA INC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 4, 2003 - June 13, 2007

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

March 6, 2000 - November 4, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

April 3, 1992 - February 25, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

February 9, 1987 - March 27, 1992

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

July 9, 1984 - February 27, 1987

ADVEST, INC.

BD
CRD#: 10
Past

August 31, 1983 - June 15, 1984

BURGESS & LEITH INCORPORATED

BD
CRD#: 114
Past

August 4, 1981 - September 2, 1983

L. F. ROTHSCHILD & CO. INCORPORATED

BD
CRD#: 501
Past

May 16, 1980 - August 14, 1981

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Past

July 12, 1972 - August 13, 1975

NEUBERGER SECURITIES CORP.

BD
CRD#: 6079
Past

March 5, 1969 - October 7, 1972

SCHEINMAN HOCHSTEIN & TROTTA INC

BD
CRD#: 1000004

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/6/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 10/5/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 1
Date: 4/26/1960
Registered Representative Examination
General Industry/Product Exam
RR
Series 000
Date: 4/13/1960
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/12/1982
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 00
Date: 12/18/1972
General Securities Principal Examination

Current Firm

GS
GILFORD SECURITIES INCORPORATED
GILFORD SECURITIES INCORPORATED

CRD#: 8076 / SEC#: , 8-24230

BD
Terminated by SEC on 12/28/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 09/24/1979
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WORTHINGTON, RALPH IVCHAIRMAN AND CEO, CHIEF COMPLIANCE OFFICER472943
SACHS, BONNIE JANE EDELMANDIRECTOR, CFO, COO725100

Disclosures

Regulatory Event21
Arbitration29

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

GILFORD SECURITIES INCORPORATED

CRD#: 8076

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