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Chris John Plechy

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Type: SEC and FINRA Registered

Chris Plechy is a financial professional at Ameriprise Financial Services, Inc., a broker-dealer with over 13,700 registered representatives nationwide. Chris has held an industry securities registration for 15 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Ameriprise Financial Services Inc 5 months Jul 2015 - Present
Stifel, Nicolaus & Company, Incorporated 7 years, 11 months Aug 2007 - Jul 2015
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 Articles

0 Answers and 0 Financial Articles

Top Answers

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

Top Articles

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

Firm Client Types

High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
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
  • Hourly Charges
  • Fixed Fees