James L. Plotkin

PRIVATE MANAGEMENT GROUP

Carlsbad, CA 92008

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CRD#: 6935197

Professional summary

James Lawrence Plotkin, who also goes by Jim Lawrence Plotkin, is a registered financial advisor currently at PRIVATE MANAGEMENT GROUP INC located in Carlsbad, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. James has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Lawrence 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.

Plotkin & Assoc, Inc DBA Plotkin Group Not investment related We provide Employee Assessments for the hiring process and for development of the employees. President/CEO 40 to 50 hrs per week During trading hours: All hours are devoted to Plotkin Group Operator of the business, service clients and obtain new clients, and other duties as required

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lawrence Plotkin's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 20, 2018 - Present

PRIVATE MANAGEMENT GROUP INC

Office #1: 5650 El Camino Real, Ste 223, Carlsbad, CA 92008

RIA

CRD#: 104707

Carlsbad, CA

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".

PRIVATE MANAGEMENT GROUP INC

CRD#: 104707 / SEC#: 801-28023

RIA

Registered Investment Advisory firm - (9/26/1986 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

California
(4/20/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/24/2001

Uniform Investment Adviser Law Examination

Current Firm

PRIVATE MANAGEMENT GROUP INC

CRD#: 104707 / SEC#: 801-28023

RIA

Registered Investment Advisory firm - (9/26/1986 Approved)

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Contact information

Main Address

15635 Alton Parkway Suite 400, Irvine, CA 92618

Mailing Address

Phone number

(949) 752-7500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A AND 2B (3/20/2025)

Regulatory assets under management

Total Number of Accounts	6,784
AUM (Assets Under Management)	$ 4,515,879,208

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.

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James L. Plotkin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lawrence Plotkin's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE MANAGEMENT GROUP INC

Primary Firm SEC Registration

PRIVATE MANAGEMENT GROUP INC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/24/2001

Current Firm

PRIVATE MANAGEMENT GROUP INC

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRIVATE MANAGEMENT GROUP INC

TRUST BUT VERIFY

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