Sherry Von Klitzing
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.
Sherry Von Klitzing, who also goes by Sherry Joe Black, Sherry Joe Walker, Sherry Walker, Sherry Joe Wunsch, Sherry Wunsch, was a registered financial professional .
Sherry is a previously registered financial professional and started their career in finance in 1985. Sherry had worked at 16 firms and has passed the Series 63, Series 65, Series 7, Series 28, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2012 - December 21, 2012
MSI FINANCIAL SERVICES, INC.
December 9, 2009 - September 28, 2011
INVESTMENT ADVISORS INTERNATIONAL, INC.
October 20, 2009 - September 28, 2011
WORLD GROUP SECURITIES, INC.
June 8, 2005 - September 18, 2009
GOLDEN EAGLE SECURITIES, INC.
May 28, 2004 - February 3, 2005
GOLDEN EAGLE SECURITIES, INC.
June 11, 2002 - June 4, 2003
CETERA WEALTH SERVICES, LLC
October 24, 2000 - May 9, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 9, 1997 - October 1, 1998
MML INVESTORS SERVICES, LLC
May 20, 1997 - June 3, 1997
PINEBRIDGE SECURITIES LLC
November 13, 1996 - March 5, 1997
METROPOLITAN LIFE INSURANCE COMPANY
November 13, 1996 - March 5, 1997
MSI FINANCIAL SERVICES, INC.
January 1, 1995 - December 2, 1996
INTEGRATED FINANCIAL PLANNING SERVICES
May 5, 1992 - December 21, 1994
INVESTMENT CONSULTANTS INT'L, INC.
July 31, 1989 - June 1, 1992
EASTBROKERS NORTH AMERICA, INC.
December 14, 1987 - August 11, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
December 8, 1987 - December 24, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
July 30, 1987 - December 9, 1987
SOUTHMARK FINANCIAL SERVICES, INC.
July 2, 1985 - July 31, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 1985 - July 23, 1985
INVESTACORP, 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 28
Date: 7/24/2006
Introducing Broker/Dealer Financial Operations Principal 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.
