Constance L. Plochocki
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Constance Lee Plochocki, who also goes by Connie Luster, Connie Thomas, was a registered financial professional .
Constance is a previously registered financial professional and started their career in finance in 1990. Constance had worked at 2 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 1999 - April 30, 2004
NATCITY INVESTMENTS, INC.
August 11, 1997 - December 8, 1997
NATCITY INSURANCE SERVICES, INC.
June 19, 1990 - July 24, 1995
NATCITY INSURANCE SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NATCITY INVESTMENTS, INC.
CRD#: 17490 / SEC#: , 8-35288
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PNC FINANCIAL SERVICES GROUP, INC. | PARENT | |
| FABRIZI, SILVIO PAUL | CHIEF COMPLIANCE OFFICER | 4321545 |
| MCLAUGHLIN, CHARLOTTE BEHM | PRESIDENT AND CHIEF EXECUTIVE OFFICER - CAPITAL MARKETS | 2849217 |
| SINGER, DOUGLAS LAWRENCE | PRESIDENT AND CHIEF EXECUTIVE OFFICER - RETAIL | 1721973 |
| SUHANIC, JEFFREY DREW | SENIOR VICE PRESIDENT, DIRECTOR | 2124910 |
| TANNER, LEONARD EUGENE | VICE CHAIRMAN | 442470 |
| WILSON, CHARLENE FAITH | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, AND TREASURER | 1935747 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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