John D. Wosotowsky
Professional summary
John Daniel Wosotowsky was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial advisor and started their career in finance in 1984. Prior to being barred, John had worked at 10 firms, which includes MSI FINANCIAL SERVICES INC., METROPOLITAN LIFE INSURANCE COMPANY, PRINCIPAL SECURITIES INC., BPU INVESTMENT MANAGEMENT INC., FIRST MONTAUK SECURITIES CORP., PENN CAPITAL FINANCIAL SERVICES INC., THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC., THE ADVISORS GROUP INC., PFS INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2007 - May 24, 2010
MSI FINANCIAL SERVICES, INC.
September 28, 2000 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
September 28, 2000 - May 24, 2010
MSI FINANCIAL SERVICES, INC.
May 24, 1999 - September 28, 2000
PRINCIPAL SECURITIES, INC.
January 23, 1998 - March 24, 1999
BPU INVESTMENT MANAGEMENT INC.
July 26, 1995 - January 6, 1998
FIRST MONTAUK SECURITIES CORP.
October 22, 1994 - July 25, 1995
PENN CAPITAL FINANCIAL SERVICES, INC.
November 1, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 1, 1990 - October 14, 1994
PRUCO SECURITIES, LLC.
November 9, 1989 - October 26, 1990
THE ADVISORS GROUP, INC.
June 9, 1986 - October 21, 1989
PRUCO SECURITIES, LLC.
June 19, 1984 - May 27, 1986
PFS INVESTMENTS 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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