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David Plotkin

Aegis Wealth Management, Inc.

Sarasota, FL

Guthrie Center, IA

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Current Employers
Aegis Wealth Management, Inc.

317 State Street, Guthrie Center, IA 50115 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APP_PEND_IARCE 2026-01-01
  • FL RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

Sarasota, FL • United States

317 State Street, Guthrie Center, IA 50115 • 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
Gold Medal Waters, Inc. St. Petersburg FL 01/2022 06/2024
Dbrs Morningstar New York NY 04/2015 02/2019
Santander Bank New York NY 08/2019 02/2023
Unemployed New York NY 02/2019 08/2019
Droneup Virginia Beach VA 03/2023 07/2023
Teach Me To, Inc. San Diego CA 03/2023 06/2024
St. Petersburg Tennis Center St. Petersburg FL 03/2023 06/2024
Ubs Financial Services, Inc Sarasota FL 06/2024 12/2024
Aegis Wealth Management, Inc. Guthrie Center IA 12/2024 Present
Transparent Wealth Management, Llc Lakewood Ranch FL 12/2024 07/2025
  • 01/2022 → 06/2024
    Gold Medal Waters, Inc.
    St. Petersburg, FL
  • 04/2015 → 02/2019
    Dbrs Morningstar
    New York, NY
  • 08/2019 → 02/2023
    Santander Bank
    New York, NY
  • 02/2019 → 08/2019
    Unemployed
    New York, NY
  • 03/2023 → 07/2023
    Droneup
    Virginia Beach, VA
  • 03/2023 → 06/2024
    Teach Me To, Inc.
    San Diego, CA
  • 03/2023 → 06/2024
    St. Petersburg Tennis Center
    St. Petersburg, FL
  • 06/2024 → 12/2024
    Ubs Financial Services, Inc
    Sarasota, FL
  • 12/2024 → Present
    Aegis Wealth Management, Inc.
    Guthrie Center, IA
  • 12/2024 → 07/2025
    Transparent Wealth Management, Llc
    Lakewood Ranch, FL
Previous Registrations
  • 2025-05-22 → 2025-08-13
    Transparent Wealth Management, Llc
    Sarasota, FL
    Lakewood Ranch, FL
  • 2022-06-17 → 2024-06-14
    Gold Medal Waters, Inc.
    St. Petersburg, FL
    Boulder, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-10-25
S65 Uniform Investment Adviser Law Examination 2022-06-14
S63 Uniform Securities Agent State Law Examination 2012-08-20
  • S66 Uniform Combined State Law Examination
    2024-10-25
  • S65 Uniform Investment Adviser Law Examination
    2022-06-14
  • S63 Uniform Securities Agent State Law Examination
    2012-08-20
Other Names
  • David M Plotkin

View on SEC IAPD

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