Jeffrey S. Adler
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.
Jeffrey Steven Adler was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1993. Jeffrey had worked at 9 firms and has passed the Series 63, SIE 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
October 23, 2015 - December 13, 2016
MSI FINANCIAL SERVICES, INC.
December 18, 2013 - May 5, 2014
MML INVESTORS SERVICES, LLC
June 4, 2009 - October 31, 2012
FIRST HEARTLAND CAPITAL, INC.
June 23, 2008 - April 1, 2009
FIRST HEARTLAND CAPITAL, INC.
September 29, 2005 - March 25, 2008
PARK AVENUE SECURITIES LLC
April 23, 2003 - September 16, 2005
METROPOLITAN LIFE INSURANCE COMPANY
April 23, 2003 - September 16, 2005
MSI FINANCIAL SERVICES, INC.
June 8, 2000 - March 21, 2003
M HOLDINGS SECURITIES, INC.
February 28, 1994 - August 22, 2000
MUTUAL SERVICE CORPORATION
January 10, 1994 - February 26, 1994
GUARDIAN INVESTOR SERVICES LLC
January 22, 1993 - December 8, 1993
MESIROW INVESTMENT 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.
