Marc Hugh Plotkin
Professional Summary
Marc Hugh Plotkin was a registered financial advisor. Marc was a previously registered financial professional and started their career in finance 1969 - 2007. Marc had worked at 10 firms and has passed the Series 63, Series 5, Series 1, Series 000, Series 4 and Series 00 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
66 years in the financial services industry
Current & Past Employments
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Current Firm
GILFORD SECURITIES INCORPORATED
Contact Information
Established
New York since 09/24/1979Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
21Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Oct 1982Series 1 — Registered Representative Examination
Passed Apr 1960Series 000 — General Securities Principal Examination
Passed Apr 1960Series 00 — General Securities Principal Examination
Passed Dec 1972Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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