Deborah A. Loporto
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.
Deborah Ann Loporto, who also goes by Deborah Failla Loporto, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1982. Deborah had worked at 11 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2014 - January 26, 2015
MSI FINANCIAL SERVICES, INC.
January 3, 2003 - October 21, 2013
OPPENHEIMER & CO. INC.
April 3, 1995 - January 3, 2003
CIBC WORLD MARKETS CORP.
September 22, 1993 - April 3, 1995
CITIGROUP GLOBAL MARKETS INC.
March 7, 1988 - August 26, 1993
GRUNTAL & CO., L.L.C.
December 3, 1987 - March 11, 1988
MOSELEY SECURITIES CORPORATION
July 1, 1987 - November 24, 1987
PHILIPS, APPEL & WALDEN, INC.
March 26, 1986 - July 15, 1987
MABON, NUGENT & CO.
September 20, 1982 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 17, 1982 - October 28, 1987
LEHMAN BROTHERS INC.
April 8, 1982 - September 2, 1982
J.P. MORGAN SECURITIES LLC
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
MSI FINANCIAL SERVICES, INC.
CRD#: 14251 / SEC#: 801-22306, 8-30447
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BENSON, WENDY ANN | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 2140720 |
| CHICARES, ELIZABETH WARD | DIRECTOR | 2194754 |
| FANNING, MICHAEL ROBERT | DIRECTOR | 1620072 |
| FRANCELLA, AMY | SECRETARY AND CHIEF LEGAL OFFICER | 1881552 |
| FREDERICK, CHRISTINE SPENCER | CHIEF COMPLIANCE OFFICER | 2641636 |
| HOLTZER, DAVID MICHAEL | PRESIDENT | 4345697 |
Disclosures
| Regulatory Event | 41 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
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.
