Unclaimed Profile

Shimshon Plotkin

PLOTKIN FINANCIAL ADVISORS, LLC·CHEVY CHASE, Maryland

SIE, Series 6, Series 7, Series 24, Series 53, Series 63, Series 6527 years registeredPLOTKIN FINANCIAL ADVISORS, LLC

8401 CONNECTICUT AVENUE, CHEVY CHASE, MD 20815-5833CRD# 2431863Firm CRD# 127635

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Shimshon Plotkin · CHEVY CHASE, MD

Registration

CRD #2431863 · PLOTKIN FINANCIAL ADVISORS, LLC · 27 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: PLOTKIN FINANCIAL ADVISORS, LLC

PLOTKIN FINANCIAL ADVISORS, LLC

Oct 2003 – Jan 2025

CHEVY CHASE, MD

ROYAL ALLIANCE ASSOCIATES, INC.

Jan 1999 – Oct 2005

BALTIMORE, MD

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 24

Series 53

Series 63

Series 65

Registration record

First registered · January 1, 1999

Years registered · 27

Disclosure History

2025Customer Dispute·Pending

2023Customer Dispute·Settled

2021Customer Dispute·Settled

2019Customer Dispute·Settled

2016Customer Dispute·Denied

2016Customer Dispute·Settled

2005Customer Dispute·Settled

2003Customer Dispute·Denied

2002Customer Dispute·Award / Judgment

2001Customer Dispute·Denied

12 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

PLOTKIN FINANCIAL ADVISORS, LLC

CRD 127635 · SEC 801-85168

AUM

$175M

Regulatory assets under management

Employees

642 client accounts

Services offered by PLOTKIN FINANCIAL ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at PLOTKIN FINANCIAL ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does Shimshon Plotkin offer?

Shimshon Plotkin specializes in Financial Planning, Investment Management.

What are Shimshon Plotkin's credentials?

Shimshon Plotkin is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Shimshon Plotkin located?

Shimshon Plotkin is based in CHEVY CHASE, Maryland, last registered with PLOTKIN FINANCIAL ADVISORS, LLC.

How does Shimshon Plotkin charge for services?

Shimshon Plotkin's firm is compensated through percentage of aum, hourly charges, other: percentage of retirement plan assets. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PLOTKIN FINANCIAL ADVISORS, LLC?

PLOTKIN FINANCIAL ADVISORS, LLC has approximately 5 employees and manages $175M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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