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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

STUART DARREN PLOTKIN

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Melville, NY | STAMFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9806bc39-7828-620d-e505-69517a8b0530

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 17, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Sep 14, 1999
First registration: Dec 17, 2001
Dual registered: yes, broker-dealer
Other names: Stuart Plotkin|STUART DARREN PLOTKIN|Stu Plotkin|STUART Stu PLOTKIN
IAPD individual key: 2388895

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 23, 2019	n/a	yes	STAMFORD, CT\|Melville, NY	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Jun 29, 2018	May 1, 2019	no	NORTH BELLMORE, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 17, 2001	Oct 13, 2017	no	GARDEN CITY, NY\|NEW YORK, NY\|GARDEN CITY, NY\|GARDEN CITY, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|MELVILLE, NY\|NEW YORK, NY\|NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN SECURITIES LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 1, 2019	May 23, 2019	22	Firm change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	Oct 13, 2017	Jun 29, 2018	259	Firm change	Wirehouse to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:79:NY:2017-10-13	Oct 13, 2017	Jun 29, 2018	NEW YORK, NY	Firm change

Relationships

Registered with (2)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 17, 2001 to Oct 13, 2017factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jun 29, 2018 to May 1, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9806bc39-7828-620d-e505-69517a8b0530
First observed: Dec 17, 2001
Last observed: Sep 14, 2026 4 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

STUART DARREN PLOTKIN

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Melville, NY | STAMFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9806bc39-7828-620d-e505-69517a8b0530

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:15 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

May 23, 2019

n/a

yes

STAMFORD, CT|Melville, NY

Current employment

J.P. MORGAN SECURITIES LLC

Wirehouse

Jun 29, 2018

May 1, 2019

NORTH BELLMORE, NY

Previous registration

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Dec 17, 2001

Oct 13, 2017

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

May 1, 2019

May 23, 2019

Firm change

Wirehouse to wirehouse

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

Oct 13, 2017

Jun 29, 2018

259

Firm change

Wirehouse to wirehouse

Team

Left

Joined

From

Kind

7691:79:NY:2017-10-13

Oct 13, 2017

Jun 29, 2018

NEW YORK, NY

Firm change