Michael J. Defosse
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.
Michael Joseph Defosse was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 16 firms and has passed the Series 63, Series 65, 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
November 15, 2012 - July 23, 2014
MSI FINANCIAL SERVICES, INC.
January 11, 2008 - August 1, 2011
MSI FINANCIAL SERVICES, INC.
January 8, 2002 - December 20, 2002
CULLUM & BURKS SECURITIES, INC.
February 9, 1996 - December 31, 2001
MOMENTUM INDEPENDENT NETWORK INC.
March 13, 1995 - March 14, 1996
M. ROBERT BURTON ASSOC., INC.
April 18, 1994 - July 20, 1994
JAMESON, DEWITT & ASSOCIATES, INC.
September 30, 1993 - April 15, 1994
IFMG SECURITIES, INC.
October 22, 1991 - October 1, 1993
FLAGSHIP SECURITIES, INC.
July 3, 1991 - November 8, 1991
INDEPENDENT FINANCIAL SECURITIES, INC.
November 10, 1989 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
November 10, 1989 - July 3, 1991
MONY SECURITIES CORPORATION
April 4, 1989 - June 19, 1989
LEHMAN BROTHERS INC.
November 17, 1988 - February 27, 1989
BAIRD, PATRICK & CO., INC.
January 18, 1988 - November 12, 1988
WAKEFIELD FINANCIAL CORPORATION
June 4, 1987 - November 6, 1987
FIRST DEVONSHIRE SECURITIES, INC.
February 9, 1987 - July 22, 1987
GREAT LAKES EQUITIES CO.
March 19, 1986 - March 2, 1987
MICHAEL C. TALLEY & CO., 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.
