Michael P. Dow
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 Patrick Dow, who also goes by Mike Dow, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 22 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
September 23, 2004 - May 22, 2013
MSI FINANCIAL SERVICES, INC.
September 23, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
September 23, 2004 - May 22, 2013
MSI FINANCIAL SERVICES, INC.
July 28, 2003 - September 27, 2004
ON INVESTMENT MANAGEMENT CO
June 27, 2001 - September 27, 2004
THE O.N. EQUITY SALES COMPANY
April 6, 1999 - September 20, 2000
ROBERT W. BAIRD & CO. INCORPORATED
April 6, 1999 - September 20, 2000
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 17, 1996 - July 31, 1997
OSAIC FS, INC.
August 15, 1994 - December 31, 1994
ADVANTAGE CAPITAL CORPORATION
May 12, 1994 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
March 3, 1988 - February 8, 1993
ROBERT W. BAIRD & CO. INCORPORATED
November 4, 1987 - February 8, 1993
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 13, 1982 - February 21, 1984
SPRING & BOE INVESTMENT CORP.
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.
