David Plotkin
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.
David Plotkin, who also goes by David M Plotkin, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2012. David had worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2025 - August 13, 2025
TRANSPARENT WEALTH MANAGEMENT, LLC
January 2, 2025 - April 16, 2026
AEGIS WEALTH MANAGEMENT, INC.
September 21, 2024 - December 12, 2024
UBS FINANCIAL SERVICES INC.
June 17, 2022 - June 14, 2024
GOLD MEDAL WATERS, INC.
August 13, 2012 - March 21, 2014
BNP PARIBAS SECURITIES CORP.
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 9/21/2024
General Securities Representative ExaminationCurrent Firm
TRANSPARENT WEALTH MANAGEMENT, LLC
CRD#: 328491 / SEC#:
Contact information
Red Flags
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