DP
David Plotkin
AEGIS WEALTH MANAGEMENT
Sarasota, FL
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CRD#: 5938006
DP
Professional summary
David Plotkin, who also goes by David M Plotkin, is a registered financial advisor currently at AEGIS WEALTH MANAGEMENT, INC. located in Sarasota, Florida.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. David has worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David M Plotkin
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.
~1) AEGIS WEALTH MANAGEMENT, INC.; Investment-related; Guthrie Center, IA; RIA; IAR; Start date: 12/2024; Approximately 80 hours/month devoted to this business with all hours/month devoted during securities trading hours. ~2) Transparent Wealth Management, LLC; Investment-related; Lakewood Ranch, FL; RIA; IAR; Start date: 12/2024; Approximately 80 hours/month devoted to this business with all hours/month devoted during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view David Plotkin's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 2, 2025 - Present
AEGIS WEALTH MANAGEMENT, INC.
RIA
CRD#: 301990
Sarasota, FL
Past
May 22, 2025 - August 13, 2025
TRANSPARENT WEALTH MANAGEMENT, LLC
RIA
CRD#: 328491
LAKEWOOD RANCH, FL
Past
September 21, 2024 - December 12, 2024
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Sarasota, FL
Past
June 17, 2022 - June 14, 2024
GOLD MEDAL WATERS, INC.
RIA
CRD#: 132294
St. Petersburg, FL
Past
August 13, 2012 - March 21, 2014
BNP PARIBAS SECURITIES CORP.
BD
CRD#: 15794
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AW
AEGIS WEALTH MANAGEMENT, INC.
AEGIS WEALTH MANAGEMENT | WILKINSON FINANCIAL | TRUMAN AND ASSOCIATES INC. | STRATEGIES FOR WEALTH MANAGEMENT LLC | STEWART WEALTH ADVISORS | SIMPLIFY ENTERPRISES LLC | PIER FINANCIAL GROUP | PHOENIX FINANCIAL GROUP LLC | OAKWAY FINANCIAL LLC | MINDIE MOLINA & INVESTMENTS & INSURANCE | CROWN HAVEN WEALTH MANAGEMENT LLC | AMERICAN LIBERTY FINANCIAL NETWORK | ALLEGIANT FINANCIAL SALES GROUP LLC | AEGIS WEALTH MANAGEMENT, INC.
CRD#: 301990 / SEC#: 801-117179
RIA
Registered Investment Advisory firm - (8/13/2019 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Florida(1/2/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/21/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
AW
AEGIS WEALTH MANAGEMENT, INC.
AEGIS WEALTH MANAGEMENT | WILKINSON FINANCIAL | TRUMAN AND ASSOCIATES INC. | STRATEGIES FOR WEALTH MANAGEMENT LLC | STEWART WEALTH ADVISORS | SIMPLIFY ENTERPRISES LLC | PIER FINANCIAL GROUP | PHOENIX FINANCIAL GROUP LLC | OAKWAY FINANCIAL LLC | MINDIE MOLINA & INVESTMENTS & INSURANCE | CROWN HAVEN WEALTH MANAGEMENT LLC | AMERICAN LIBERTY FINANCIAL NETWORK | ALLEGIANT FINANCIAL SALES GROUP LLC | AEGIS WEALTH MANAGEMENT, INC.
CRD#: 301990 / SEC#: 801-117179
RIA
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Contact information
Main Address
317 State Street, Guthrie Center, IA 50115
Mailing Address
Phone number
(833) 483-8383
Established
Firm type
Fiscal year end
# of Employees
31
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,538 |
| AUM (Assets Under Management) | $ 175,971,164 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
