Yvon A. Fleury
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.
Yvon Adrian Fleury, who also goes by Von Fleury, Yvon A Fleury, was a registered financial professional .
Yvon is a previously registered financial professional and started their career in finance in 1981. Yvon had worked at 8 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2013 - April 8, 2014
MSI FINANCIAL SERVICES, INC.
March 8, 2001 - December 5, 2012
AMERITAS INVESTMENT COMPANY, LLC
May 6, 1998 - April 5, 2001
MML INVESTORS SERVICES, LLC
August 7, 1995 - February 17, 1998
MONY SECURITIES CORPORATION
April 10, 1995 - July 28, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 10, 1995 - July 28, 1995
EQUITABLE ADVISORS, LLC
February 18, 1982 - April 26, 1995
PRUCO SECURITIES, LLC.
December 11, 1981 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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.
