Christopher J. Tyra
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.
Christopher Joseph Tyra, who also goes by Chris J Tyra, Chris Joseph Tyra, Chris Tyra, Christopher J Tyra, Christopher Tyra, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1975. Christopher had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2023 - April 17, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
May 26, 2023 - April 17, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
June 21, 2016 - June 6, 2023
WELLS FARGO CLEARING SERVICES, LLC
June 20, 2016 - June 6, 2023
WELLS FARGO CLEARING SERVICES, LLC
October 29, 2009 - June 22, 2016
TRUIST INVESTMENT SERVICES, INC.
October 27, 2009 - June 22, 2016
TRUIST INVESTMENT SERVICES, INC.
December 5, 2007 - October 23, 2009
COLONIAL ASSET MANAGEMENT INC
April 19, 2002 - October 23, 2009
COLONIAL BROKERAGE, INC.
February 22, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 22, 1996 - March 8, 2002
SIGNATOR INVESTORS, INC.
January 31, 1982 - March 9, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 31, 1982 - March 9, 1994
SIGNATOR INVESTORS, INC.
May 19, 1981 - September 26, 1983
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 15, 1975 - November 27, 1979
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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 1
Date: 7/14/1975
Registered Representative ExaminationCurrent Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 |
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
AMERIPRISE FINANCIAL SERVICES, LLC
Financial AdvisorCRD#: 6363TRUST BUT VERIFY
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