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Chris John Plechy

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Type: SEC and FINRA Registered

Chris Plechy is a financial professional at Stifel, Nicolaus & Company, Incorporated, a broker-dealer with over 4,000 registered representatives nationwide. Chris has held an industry securities registration for 14 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Stifel, Nicolaus & Company, Incorporated 7 years, 8 months Aug 2007 - Present
Ryan Beck & Co. 2 years, 9 months Nov 2004 - Aug 2007
ExamSeriesPassed Date
General Securities Representative ExaminationSeries 7 08/16/2000
Uniform Combined State Law ExaminationSeries 66 05/19/2000

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Chris John Plechy has not answered any questions on Financial Q&A.

Top Guides

Chris John Plechy has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations
Other Pooled Investment Vehicles
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

License Status

1 Customer Dispute

1 Customer Dispute

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions