Samuel P. Plotkin

PROSPERITEA PLANNING

Greenfield, MA

Some features on this profile are disabled

CRD#: 7449679

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 .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sam 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.) PERSONAL REAL ESTATE INVESTMENTS; YES INVESTMENT RELATED; 19-21 HAYWOOD STREET, GREENFIELD, MA 01301 & 8 GRANT STREET, GREENFIELD, MA 01301; 53 Pleasant St. Greenfield, MA 01301; REAL ESTATE; LANDLORD; START DATE 04/2021; APPROX 5 HRS/MONTH; APPROX 0 HRS/MONTH DURING TRADING; LEASING AND MAINTENANCE. 2.) Temple Israel, Greenfield; Investment Committee volunteer, investment-related, 4 hours per year.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Phillip 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

February 7, 2024 - Present

PROSPERITEA PLANNING

RIA

CRD#: 282041

Greenfield, MA

Past

March 24, 2022 - April 5, 2024

CLARITY WEALTH MANAGEMENT LLC

RIA

CRD#: 318575

MONTAGUE, MA

Past

October 7, 2021 - November 8, 2021

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

Sunderland, MA

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".

PROSPERITEA PLANNING

MARSDEN, WENDY SUZANNE CONRAD | TEA & TAXES COMPANY DBA PROSPERITEA PLANNING | PROSPERITEA PLANNING

CRD#: 282041 / SEC#: 801-134175

RIA

Registered Investment Advisory firm - (8/21/2025 Approved)

Massachusetts

Registered Investment Advisory firm - (1/25/2016 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

Massachusetts
(2/7/2024)

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

Current Firm

PROSPERITEA PLANNING

MARSDEN, WENDY SUZANNE CONRAD | TEA & TAXES COMPANY DBA PROSPERITEA PLANNING | PROSPERITEA PLANNING

CRD#: 282041 / SEC#: 801-134175

RIA

Registered Investment Advisory firm - (8/21/2025 Approved)

Massachusetts

Registered Investment Advisory firm - (1/25/2016 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Greenfield, MA

Mailing Address

Phone number

(413) 829-4832

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TEA & TAXES COMPANY DBA PROSPERITEA PLANNING (7/16/2025)

Regulatory assets under management

Total Number of Accounts	537
AUM (Assets Under Management)	$ 124,992,422

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Samuel P. Plotkin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Phillip Plotkin's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROSPERITEA PLANNING

CLARITY WEALTH MANAGEMENT LLC

AE WEALTH MANAGEMENT, LLC

Primary Firm SEC Registration

PROSPERITEA PLANNING

State Registrations and Notice Filings

Exams

Current Firm

PROSPERITEA PLANNING

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITEA PLANNING

TRUST BUT VERIFY

Similar Advisors