Thomas J. Farley
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 John Farley, who also goes by Tom Farley, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 6 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
October 17, 2012 - June 30, 2016
MSI FINANCIAL SERVICES, INC.
July 17, 2006 - January 2, 2015
NEW ENGLAND SECURITIES
July 17, 2006 - March 24, 2017
METLIFE INVESTORS DISTRIBUTION COMPANY
January 19, 1999 - August 30, 1999
SECURITIES AMERICA, INC.
April 27, 1995 - May 15, 1997
BANC ONE SECURITIES CORPORATION
May 5, 1994 - June 16, 1994
INDEPENDENT FINANCIAL SECURITIES, INC.
December 22, 1993 - June 26, 1994
NATIONAL CITY INVESTMENTS CORPORATION
November 2, 1993 - November 15, 1993
AMFIN INVESTMENT SERVICES, INC.
March 2, 1993 - September 13, 1993
VERAVEST INVESTMENTS, INC.
February 9, 1989 - August 15, 1991
PRINCIPAL SECURITIES, INC.
October 23, 1985 - July 13, 1987
AMERIPRISE FINANCIAL SERVICES, 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.
