Thomas J. Sugrue
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.
Thomas Joseph Sugrue was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1999. Thomas had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2014 - December 20, 2016
MSI FINANCIAL SERVICES, INC.
January 23, 2012 - May 22, 2013
WALNUT STREET SECURITIES, INC.
January 23, 2012 - May 22, 2013
TOWER SQUARE SECURITIES, INC.
January 23, 2012 - May 22, 2013
METLIFE INVESTORS DISTRIBUTION COMPANY
February 25, 2005 - January 2, 2015
NEW ENGLAND SECURITIES
July 29, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
July 29, 2003 - May 22, 2013
MSI FINANCIAL SERVICES, INC.
September 22, 1999 - April 3, 2003
PRUCO SECURITIES, LLC.
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.
