Francis J. Tragesser
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.
Francis James Tragesser, who also goes by Fran Tragesser, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1984. Francis had worked at 8 firms and has passed the SIE, 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 16, 2009 - September 20, 2016
MSI FINANCIAL SERVICES, INC.
September 8, 2008 - September 20, 2016
MSI FINANCIAL SERVICES, INC.
January 27, 2006 - September 22, 2008
PRINCIPAL SECURITIES, INC.
July 9, 2004 - September 22, 2008
PRINCIPAL SECURITIES, INC.
January 21, 2004 - July 13, 2004
NEW ENGLAND SECURITIES
February 27, 2002 - December 31, 2003
CAPITAL BROKERAGE CORPORATION
February 6, 1997 - March 6, 2002
INVESTORS CAPITAL CORP.
December 12, 1996 - February 20, 1997
IFG NETWORK SECURITIES, INC.
October 3, 1996 - December 11, 1996
BUCKHEAD FINANCIAL CORPORATION
August 25, 1995 - September 17, 1996
LOCUST STREET SECURITIES, INC.
May 17, 1984 - February 28, 1996
PRINCIPAL SECURITIES, 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.
