Morgan Stanley
47yrs
Top 1% by experience in Westlake Village
35yrs
Alan Plotkin has worked in the financial industry for 35 years and is a financial advisor based in Westlake Village, California. After less than a year at Wells Fargo Advisors and seven years at A. G. Edwards & Sons, Alan joined Stifel, Nicolaus & Company in 2008, a firm offering financial planning, investment management, and private fund management. Stifel, Nicolaus & Company reports being paid through a percentage of assets, flat fees, and commissions.
At a glance
Experience35 years (since 1992)
How that compares ?Top 8% by experience in California
Office3075 Townsgate Road Suite 300, Westlake Village, CA 91361
How the firm is paid ?Percent of assets, Flat fee, Commissions
Typical client at the firm ?$773,556
Advisors at the firm3,351
States licensed ?1 state
Services through Stifel, Nicolaus & Company
Financial planningInvestment management for individuals and small businessesManaging private fundsInvestment management for businesses and institutionsRetirement plan consultingChoosing other investment managersEducational seminars and workshops
Specialties, designations like CFP®, and languages spoken appear here when advisors claim their profiles.
Licenses
Exams passed, from the official record. Tap a license to see what it allows.
Series 63Uniform Securities Agent State Law Examination
Career
- 2008 – nowStifel, Nicolaus & Company, IncorporatedCurrent firm
- Jan 2008 – Apr 2008Wells Fargo Clearing Services, LLCPreviously
- 2001 – 2008A. G. Edwards & Sons, Inc.Previously
Questions to ask Alan
Tailored to Alan’s registration and firm.
- What's your succession plan, and who would work with me if you retire?
- At a firm this size, will I work with you directly or with a service team?
- What does a financial plan with you include, and how often is it updated?
- If you use outside managers, how are they chosen and what do they cost on top of your fee?
- Where would my money be held, and will I get statements directly from that firm?
- What would I pay in total each year, in dollars, including fund and trading costs?
My notes and scorecard
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About Alan
How do I contact Alan?
Call Alan’s local office at (805) 496-8150 or the Stifel, Nicolaus & Company main office at (314) 342-2000, and ask for Alan Plotkin.
How long has Alan been a financial advisor?
Alan has been in the industry since 1992, about 35 years. Top 8% by experience in California.
What licenses does Alan hold?
Series 63. Tap any license on this page to see what it allows.
Is Alan a fiduciary?
Alan is registered with an advisory firm. Ask whether they act as a fiduciary for all the advice they give you.
How is Alan paid?
Stifel, Nicolaus & Company reports being paid by a percentage of the assets they manage, flat or fixed fees, commissions on some products. Ask Alan for your total yearly cost in dollars.
Official record as of October 3, 2026.
This profile is for information only and is not financial advice or a recommendation.
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