Samuel Phillip Plotkin
Professional Summary
Samuel Phillip Plotkin, who also goes by Sam Plotkin, is a registered financial advisor currently at PROSPERITEA PLANNING located in Greenfield, Massachusetts. Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Samuel has worked at 3 firms.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Sam Plotkin
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
FIDELITY BROKERAGE SERVICES LLC
MACQUARIE CAPITAL (USA) INC.
KJH FINANCIAL SERVICES
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
FIDELITY BROKERAGE SERVICES LLC
MACQUARIE CAPITAL (USA) INC.
KJH FINANCIAL SERVICES
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
FIDELITY BROKERAGE SERVICES LLC
MACQUARIE CAPITAL (USA) INC.
KJH FINANCIAL SERVICES
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.
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.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
FIDELITY BROKERAGE SERVICES LLC
MACQUARIE CAPITAL (USA) INC.
KJH FINANCIAL SERVICES
Years of Experience
4 years in the financial services industry
Current & Past Employments
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
FIDELITY BROKERAGE SERVICES LLC
MACQUARIE CAPITAL (USA) INC.
KJH FINANCIAL SERVICES
Current Firm
MARSDEN, WENDY SUZANNE CONRAD | TEA & TAXES COMPANY DBA PROSPERITEA PLANNING | PROSPERITEA PLANNING
Contact Information
Main Address
308 Main Street Suite 3a, Greenfield, MA 01301Phone Number
(413) 829-4832# of Employees
4SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
579AUM (Assets Under Management)
$176,890,177Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
FIDELITY BROKERAGE SERVICES LLC
MACQUARIE CAPITAL (USA) INC.
KJH FINANCIAL SERVICES
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.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
FIDELITY BROKERAGE SERVICES LLC
MACQUARIE CAPITAL (USA) INC.
KJH FINANCIAL SERVICES
Primary Firm SEC Registration
MARSDEN, WENDY SUZANNE CONRAD | TEA & TAXES COMPANY DBA PROSPERITEA PLANNING | PROSPERITEA PLANNING
State Registrations and Notice Filings
(2/7/2024)
(3/5/2026)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
FIDELITY BROKERAGE SERVICES LLC
MACQUARIE CAPITAL (USA) INC.
KJH FINANCIAL SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Phillip Plotkin's CRS (Customer Relationship Summary).
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
FIDELITY BROKERAGE SERVICES LLC
MACQUARIE CAPITAL (USA) INC.
KJH FINANCIAL SERVICES
