Meet Senior Compliance Officer, Chris Plummer!
Chris is a Senior Compliance Officer with tru Independence and is serving as Chief Compliance Officer for several of the east coast advisory firms. He brings with him 25 years of regulatory compliance experience within the financial services industry.
Beginning his career with the market surveillance department at the Philadelphia Stock Exchange, Chris has had the opportunity to implement and oversee both broker-dealer and investment advisory compliance programs spanning both the retail and institutional marketplace. Early career oversight covered a variety of trading desks leading to the completion of several FINRA licenses including the Series 4, 7, 24, 53, 55, and 87. After a brief stint in Dallas, Texas, working for a private equity advisory firm, Chris and family moved back to the Philadelphia area where he was part of the Pershing/BNY Mellon compliance group for 7 years prior to joining the tru Independence team in the Philadelphia office.
Chris and his wife Taryn currently reside in his hometown of Springfield, Delaware County in Pennsylvania with 7 of their 9 children. Their oldest, now 24, is a graduate of West Virginia University and still resides in West Virginia working for a unit within the Dept of Justice. Their second son opted for a different route and enlisted in the U.S. Army in 2021. He’s currently a Specialist and Infantryman with the Army’s 1st Infantry Division based in Fort Riley, Kansas after having been deployed overseas for the past 14 months.
Chris attended West Chester University, in Pennsylvania, graduating with a B.S. in Economics and a B.S. in Finance, and thereafter, attended Johns Hopkins University where he earned his Master’s in Applied Economics. Chris also served 8 years in the U.S. Marine Corps Reserve from 1996 to 2004.
Connect with me on Linked In! https://www.linkedin.com/in/christopher-plummer-b9a382b8/