Rick G. Crocker
Professional summary
Rick Gayland Crocker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Rick is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, Rick had worked at 8 firms, which includes MSI FINANCIAL SERVICES INC., METROPOLITAN LIFE INSURANCE COMPANY, SYNERGY INVESTMENT GROUP LLC, CAMBRIDGE INVESTMENT RESEARCH INC., LPL FINANCIAL LLC, MONY SECURITIES CORPORATION, EDWARD JONES, FINANCIAL SYNERGIES EQUITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2006 - November 10, 2009
MSI FINANCIAL SERVICES, INC.
May 23, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
May 23, 2006 - November 10, 2009
MSI FINANCIAL SERVICES, INC.
September 18, 2002 - March 1, 2006
SYNERGY INVESTMENT GROUP, LLC
September 3, 2002 - March 1, 2006
SYNERGY INVESTMENT GROUP, LLC
December 31, 2001 - September 6, 2002
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 30, 1999 - September 6, 2002
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 28, 1995 - March 14, 1999
LPL FINANCIAL LLC
March 31, 1995 - September 12, 1995
MONY SECURITIES CORPORATION
January 2, 1987 - April 3, 1995
EDWARD JONES
August 30, 1983 - December 17, 1986
FINANCIAL SYNERGIES EQUITIES, 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
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