Kenneth R. Huard
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.
Kenneth Ray Huard was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1983. Kenneth had worked at 27 firms and has passed the Series 65, 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
March 27, 2015 - April 21, 2016
MSI FINANCIAL SERVICES, INC.
March 2, 2012 - March 30, 2015
MUTUAL OF AMERICA SECURITIES LLC
March 2, 2012 - March 30, 2015
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
November 15, 2011 - March 1, 2012
ST. BERNARD FINANCIAL SERVICES, INC.
July 21, 2009 - June 3, 2010
KALOS CAPITAL, INC.
July 18, 2006 - August 7, 2007
SECURITIES AMERICA, INC.
April 15, 2005 - July 21, 2006
VALIC FINANCIAL ADVISORS, INC.
April 5, 2005 - July 21, 2006
VALIC FINANCIAL ADVISORS, INC.
February 18, 2005 - March 28, 2005
STERLING FINANCIAL INVESTMENT GROUP, INC.
July 12, 2004 - July 20, 2004
NATIONAL PLANNING CORPORATION
October 10, 2001 - January 23, 2004
TRUIST INVESTMENT SERVICES, INC.
October 10, 2001 - January 23, 2004
TRUIST INVESTMENT SERVICES, INC.
April 11, 2001 - October 9, 2001
WAMU INVESTMENTS, INC.
June 1, 2000 - January 12, 2001
AMFIN INVESTMENT SERVICES, INC.
November 15, 1999 - June 9, 2000
ATLAS SECURITIES, LLC
November 15, 1996 - October 14, 1999
PRUDENTIAL EQUITY GROUP, LLC
July 3, 1996 - November 19, 1996
INTERCREDIT CAPITAL MARKETS, INC.
January 26, 1996 - February 23, 1996
INVEST FINANCIAL CORPORATION
August 16, 1993 - April 25, 1995
CAL FED INVESTMENTS
February 23, 1993 - August 16, 1993
FINANCIAL HORIZONS SECURITIES CORPORATION
February 19, 1993 - August 11, 1993
CITICORP INVESTMENT SERVICES
October 13, 1992 - December 16, 1992
RAYMOND JAMES & ASSOCIATES, INC.
April 24, 1992 - May 1, 1992
GLENFED BROKERAGE SERVICES
January 4, 1991 - April 7, 1992
INVEST FINANCIAL CORPORATION
June 28, 1990 - January 10, 1991
BARNETT INVESTMENTS, INC.
May 21, 1987 - June 4, 1990
INVEST FINANCIAL CORPORATION
November 7, 1986 - May 12, 1987
CIBC WORLD MARKETS CORP.
May 27, 1986 - October 28, 1986
THOMSON MCKINNON SECURITIES INC.
September 5, 1984 - April 29, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 30, 1984 - September 6, 1984
CITIGROUP GLOBAL MARKETS INC.
June 22, 1983 - April 17, 1984
J. B. HANAUER & CO.
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.
