Stephanie G. Horman
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.
Stephanie Gwen Horman, who also goes by Stephanie Gwen Brady, Steph Quitzau, Stephanie Gwen Quitzau, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 1981. Stephanie had worked at 7 firms and has passed the Series 65, Series 63, Series 5 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
August 29, 2013 - January 23, 2014
MSI FINANCIAL SERVICES, INC.
October 23, 2003 - June 18, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 15, 2002 - June 18, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 15, 1997 - August 2, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1993 - July 11, 1996
CITIGROUP GLOBAL MARKETS INC.
December 11, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
August 10, 1987 - December 3, 1991
MORGAN STANLEY DW INC.
April 17, 1985 - August 6, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
December 24, 1981 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
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 5
Date: 3/17/1982
Interest Rate Options ExaminationCurrent 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.
