Chris A. Plaford
Professional summary
Chris Andrew Plaford was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Chris is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Chris had worked at 2 firms, which includes REDI GLOBAL TECHNOLOGIES LLC, GOLDMAN SACHS EXECUTION & CLEARING L.P..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2001 - August 2, 2002
REDI GLOBAL TECHNOLOGIES LLC
December 7, 2000 - August 2, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
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
Series 55
Date: 1/3/2001
Limited Representative-Equity Trader ExamCurrent Firm
REDI GLOBAL TECHNOLOGIES LLC
CRD#: 41924 / SEC#: , 8-49673
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REFINITIV US LLC | OWNER | |
| BALTOVSKI, ALEXANDER NMN | FINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO | 2350828 |
| CUTLER, SETH | DIRECTOR | 2594208 |
| IAMSCICOV WEIGL, KATARINA | CHIEF COMPLIANCE OFFICER AND SECRETARY | 7893210 |
| MALONEY, MICHAEL G | DIRECTOR, CEO, MANAGING PRINCIPAL | 5728423 |
| SIBLEY, JOHN HOLDEN | DIRECTOR | 5781488 |
Disclosures
| Regulatory Event | 7 |
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.
