Joseph F. Smith Jr
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.
Joseph Francis Smith Jr, who also goes by Joe Smith Jr, Joseph Francis Smith Jr, Joseph Francis Smith, was a registered financial advisor .
Joseph is a previously registered financial advisor and started their career in finance in 1982. Joseph had worked at 12 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2012 - October 5, 2012
MSI FINANCIAL SERVICES, INC.
March 4, 2008 - May 24, 2012
LPL FINANCIAL LLC
March 4, 2008 - May 24, 2012
LPL FINANCIAL LLC
October 3, 2005 - March 4, 2008
IFMG SECURITIES, INC.
May 3, 2004 - March 4, 2008
IFMG SECURITIES, INC.
October 5, 1998 - April 30, 2004
ESSEX NATIONAL SECURITIES, LLC
April 19, 1998 - September 30, 1998
INVESTACORP, INC.
September 11, 1996 - January 28, 1998
IFMG SECURITIES, INC.
October 12, 1994 - August 13, 1996
ESSEX NATIONAL SECURITIES, LLC
August 4, 1994 - September 22, 1994
CAL FED INVESTMENTS
January 14, 1994 - April 29, 1994
INVEST FINANCIAL CORPORATION
July 26, 1993 - January 20, 1994
INVESTACORP, INC.
June 2, 1992 - July 12, 1993
FINANCIAL HORIZONS SECURITIES CORPORATION
May 20, 1992 - July 8, 1993
CITICORP INVESTMENT SERVICES
April 3, 1991 - November 14, 1991
DETWILER FENTON WEALTH MANAGEMENT INC
October 14, 1986 - May 23, 1988
AETNA LIFE INSURANCE AND ANNUITY COMPANY
December 2, 1982 - November 24, 1986
METROPOLITAN LIFE INSURANCE COMPANY
December 2, 1982 - January 24, 1992
MSI FINANCIAL SERVICES, 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.
