Christopher J. Buccheri
STIFEL, NICOLAUS & COMPANY
Naples, FL 34103
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CRD#: 1979839
Professional summary
Christopher Joseph Buccheri, CFP®, who also goes by Chris Buccheri, Christopher J Buccheri, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Naples, Florida.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Christopher has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Estate Planning
Comprehensive Financial Planni...
Investment Planning
Retirement Income Management
Are you a "fiduciary"?
Yes
Aliases
Chris Buccheri | Christopher J Buccheri
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Ave Maria Community Corporation; 5129 Taylor St Ave Maria FL 34142; Preserving, documenting, and promoting Ave Maria and the University; President; Run meetings and delegate tasks; 01/01/2016; 1.00 Hour(s) Per Quarter; not during securities trading hours; Not Investment-Related. 2. Southwest Florida Brew Crafters;5194 Milano St Ave Maria FL 34142;Home brewing club;President of Ave Maria, FL chapter;Organizing and promoting home brewing activities;1/1/17;1.00 Hour(s) Per Week;not during securities trading hours;not investment related. 3. Young People Who Care, Inc.;Frenchville PA 16836;Volunteer organization that provide social services to local residents as well as adult and youth retreats;Board Member;To help principals make informed/educated decisions as part of a finance committee;6/10/19; 2 hr/qtr; not during securities trading hours;not investment related. 4. Ave Maria Community Corporation; 5129 Taylor St Ave Maria FL 34142; Preserving, documenting, and promoting Ave Maria and the University; Board Member; Run meetings and delegate tasks; 01/01/2016; 1.00hr/quarter; not during securities trading hours; not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Joseph Buccheri's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Joseph Buccheri's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2006
Experience
Current
October 31, 2018 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3777 Tamiami Trail North Suite 300, Naples, FL 34103RIA
BD
CRD#: 793
Naples, FL
Current
October 31, 2018 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3777 Tamiami Trail North Suite 300, Naples, FL 34103RIA
BD
CRD#: 793
Naples, FL
Past
May 8, 2009 - November 3, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BONITA SPRINGS, FL
Past
May 8, 2009 - November 3, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BONITA SPRINGS, FL
Past
March 2, 2001 - May 11, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BEL AIR, MD
Past
June 13, 2000 - May 11, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BEL AIR, MD
Past
April 13, 1993 - June 21, 2000
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
September 4, 1991 - April 23, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 18, 1989 - March 22, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
September 18, 1989 - March 22, 1991
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/7/2025)
RR
California(10/31/2018)
RR
Connecticut(1/13/2025)
RR
Delaware(10/31/2018)
RR
Florida(10/31/2018)
IAR
Florida(11/1/2018)
RR
Georgia(10/31/2018)
RR
Maine(2/3/2025)
RR
Maryland(10/31/2018)
RR
Massachusetts(9/16/2020)
RR
Missouri(12/15/2022)
RR
Montana(6/12/2023)
RR
New Jersey(10/31/2018)
RR
New York(7/26/2024)
RR
North Carolina(10/31/2018)
RR
Ohio(12/4/2023)
RR
Oregon(9/1/2020)
RR
Pennsylvania(10/31/2018)
RR
South Carolina(10/31/2018)
RR
Tennessee(12/14/2020)
RR
Texas(10/31/2018)
IAR
Texas(10/31/2018)
RR
Utah(10/31/2018)
RR
Virginia(10/31/2018)
RR
Wisconsin(3/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Naples, FL 34103TRUST BUT VERIFY
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Contact information
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