Dipak M. Shah
Professional summary
Dipak Mafatlal Shah was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dipak is a previously registered financial advisor and started their career in finance in 1997. Prior to being barred, Dipak had worked at 8 firms, which includes MSI FINANCIAL SERVICES INC., THE O.N. EQUITY SALES COMPANY, ALLSTATE FINANCIAL SERVICES LLC, MERRIMAC CORPORATE SECURITIES INC., ALLEN DOUGLAS SECURITIES INC., EMPIRE FINANCIAL GROUP INC., NEW ENGLAND SECURITIES, MONY SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2010 - December 21, 2010
MSI FINANCIAL SERVICES, INC.
April 4, 2008 - December 21, 2010
MSI FINANCIAL SERVICES, INC.
October 4, 2007 - April 10, 2008
THE O.N. EQUITY SALES COMPANY
October 19, 2004 - February 15, 2006
ALLSTATE FINANCIAL SERVICES, LLC
September 23, 2004 - November 2, 2004
MERRIMAC CORPORATE SECURITIES, INC.
December 4, 2002 - November 5, 2004
ALLEN DOUGLAS SECURITIES, INC.
October 13, 2000 - November 7, 2001
EMPIRE FINANCIAL GROUP, INC.
June 29, 1999 - December 12, 2000
NEW ENGLAND SECURITIES
March 12, 1997 - August 27, 1997
MONY SECURITIES CORPORATION
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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