Richard F. Ferrara
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.
Richard Francis Ferrara was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 9 firms and has passed the Series 63, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2008 - May 21, 2012
MSI FINANCIAL SERVICES, INC.
March 21, 2007 - May 28, 2008
CHASE INVESTMENT SERVICES CORP.
May 28, 2004 - February 26, 2007
BLUE POINT SECURITIES INC.
February 2, 2004 - May 28, 2004
FERRARA, RICHARD FRANCIS
January 14, 2003 - January 29, 2004
DME SECURITIES, LLC
October 10, 2000 - December 31, 2002
CREDIT SUISSE SECURITIES (USA) LLC
March 1, 1994 - October 10, 2000
PERSHING LLC
April 13, 1989 - April 25, 1994
MONTGOMERY SECURITIES
July 26, 1984 - April 20, 1989
MORGAN STANLEY DW 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
Series 25
Date: 11/13/1999
NYSE Trading Assistant ExaminationCurrent 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.
