Best Investors Account Sign in

Alan Scott Plotkin

Stifel, Nicolaus & Company, Incorporated

Westlake Village, CA

Claim This Profile
Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2008-04-25
  • CA RA
    APPROVED
    Since 2008-04-25

Branch Locations

3075 Townsgate Road Suite 300, Westlake Village, CA 91361 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus St. Louis MO 04/2008 Present
  • 04/2008 → Present
    Stifel Nicolaus
    St. Louis, MO
Previous Registrations
  • 2008-01-01 → 2008-04-30
    Wells Fargo Clearing Services, Llc
    Westlake Village, CA
  • 2001-03-29 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Westlake Village, CA
    Oxnard, CA
    Westlake Village, CA
    St. Louis, MO
    Westlake Village, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-01-24
  • S63 Uniform Securities Agent State Law Examination
    1992-01-24

View on SEC IAPD

Other Firms

MANCHESTER FINANCIAL INC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
EAGLE STRATEGIES LLC
RKS MANAGEMENT, INC.
MERCER GLOBAL ADVISORS INC.
LPL FINANCIAL LLC
MML INVESTORS SERVICES, LLC
EDWARD JONES

Other Investors

Seth Christian Catanese
FRANKLIN SCHENECK WHITEHOUSE
LAURA JO Navarro
STEVEN MICHAEL REZZELLE
STEVEN SCOTT
MARIO VALVERDE
JANIKA DOMINGO
MARK WEIDERMAN

Other Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WESTLAKE VILLAGE, CA
EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA
RKS MANAGEMENT, INC. · WESTLAKE VILLAGE, CA
MERCER GLOBAL ADVISORS INC. · Westlake Village, CA
LPL FINANCIAL LLC · WESTLAKE VILLAGE, CA
MML INVESTORS SERVICES, LLC · WESTLAKE VILLAGE, CA
EDWARD JONES · Westlake Village, CA

More in Westlake Village, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor