Michael J. Caravaglio
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.
Michael Jude Caravaglio, who also goes by Michael Jude Caravas, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 8 firms and has passed the Series 63, 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
July 6, 2015 - April 20, 2016
MSI FINANCIAL SERVICES, INC.
April 1, 1998 - July 17, 2013
JOSEPH GUNNAR & CO. LLC
March 20, 1995 - April 3, 1998
JOSEPH STEVENS & CO., INC.
August 11, 1993 - March 27, 1995
TEXAS CAPITAL SECURITIES, INC.
June 7, 1991 - August 24, 1993
FIRST ASSET MANAGEMENT, INC.
December 13, 1989 - July 23, 1991
COMMONWEALTH ASSOCIATES
July 15, 1988 - January 2, 1990
TICONDEROGA SECURITIES LLC
June 28, 1982 - June 6, 1988
KUHNS BROTHERS & LAIDLAW, INC.
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.
