John J. Ninivaggi
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.
John James Ninivaggi was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 14 firms and has passed the Series 63, Series 7 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
December 21, 2011 - August 29, 2012
MSI FINANCIAL SERVICES, INC.
December 3, 2009 - December 21, 2011
HORNOR, TOWNSEND & KENT, LLC
July 1, 2009 - December 14, 2009
PRIME CAPITAL SERVICES, INC.
April 11, 2006 - June 30, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 13, 2005 - March 31, 2006
MIDSOUTH CAPITAL, INC.
December 14, 2004 - October 13, 2005
EQUITABLE ADVISORS, LLC
March 10, 2004 - November 22, 2004
NATIONWIDE SECURITIES, LLC
April 3, 2003 - March 5, 2004
ALLSTATE FINANCIAL SERVICES, LLC
January 13, 2003 - March 4, 2003
UBS FINANCIAL SERVICES INC.
July 17, 2002 - November 29, 2002
IFMG SECURITIES, INC.
June 15, 1999 - August 2, 2002
DAVID LERNER ASSOCIATES, INC.
September 21, 1998 - July 1, 1999
NYLIFE SECURITIES LLC
April 17, 1986 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 17, 1986 - September 3, 1998
SIGNATOR INVESTORS, 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.
