Susan J. Scanlon
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.
Susan Joann Scanlon, who also goes by Susan Joann Miner, Sue Scanlon, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1986. Susan had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 14 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
September 9, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
September 9, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
February 27, 2014 - October 11, 2021
MML STRATEGIC DISTRIBUTORS, LLC
April 4, 2012 - November 4, 2013
MMLISI FINANCIAL ALLIANCES, LLC
April 4, 2012 - November 4, 2013
MMLISI FINANCIAL ALLIANCES, LLC
December 16, 2005 - October 11, 2021
MML INVESTORS SERVICES, LLC
December 16, 2005 - October 11, 2021
MML INVESTORS SERVICES, LLC
December 16, 2005 - October 11, 2021
MML DISTRIBUTORS, LLC
November 24, 2000 - November 8, 2005
OSAIC FA, INC.
September 4, 1998 - November 8, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 4, 1998 - November 8, 2005
OSAIC FA, INC.
May 9, 1997 - November 16, 2001
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 31, 1996 - July 16, 1996
MML DISTRIBUTORS, LLC
June 24, 1988 - February 29, 1996
G. R. PHELPS & CO., INC.
April 23, 1986 - July 1, 1988
LINCOLN FINANCIAL DISTRIBUTORS, 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.
