Steven William Plotycia
Professional Summary
Steven William Plotycia is a registered financial advisor currently at COLTON ALEXANDER SECURITIES LLC located in San Juan, undefined and ANCORIS SECURITIES LLC located in New York, New York. Steven is registered as a RR (Registered Representative) and started their career in finance in 2009. Steven has worked at 9 firms and has passed the Series 66, Series 99TO, Series 79TO, SIE, Series 7, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
17 years in the financial services industry
Current & Past Employments
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Current Firm
PFAL SECURITIES, INC.
Contact Information
Main Address
384 Tennessee Ave, Mill Valley, CA 94941Mailing Address
384 Tennessee Ave, Mill Valley, CA 94941Phone Number
(678) 596-0747Established
Delaware since 10/21/2022Firm Type
CorporationFiscal Year End
JuneFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TAYLOR, VICTORIA ANN | OWNER, CEO, CHIEF COMPLIANCE OFFICER | — |
| LITTLEFAIR, JAMES EDWARD | OWNER | — |
| PLOTYCIA, STEVEN WILLIAM | CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL | 5293014 |
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Steven William Plotycia's CRS (Customer Relationship Summary).
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