Tony C. Galletto
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.
Tony C Galletto, who also goes by Tony L Galletto, Tony Galletto, was a registered financial professional .
Tony is a previously registered financial professional and started their career in finance in 1986. Tony had worked at 12 firms and has passed the Series 63, SIE, Series 6 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
March 28, 2014 - December 16, 2015
MSI FINANCIAL SERVICES, INC.
November 12, 2010 - February 11, 2014
ALLSTATE FINANCIAL SERVICES, LLC
September 25, 2009 - October 15, 2010
NYLIFE SECURITIES LLC
July 23, 2007 - August 26, 2009
PRINCIPAL SECURITIES, INC.
May 30, 2007 - July 26, 2007
MML INVESTORS SERVICES, LLC
January 1, 2005 - January 17, 2007
HSBC SECURITIES (USA) INC.
December 19, 2003 - January 1, 2005
HSBC BROKERAGE (USA) INC.
January 14, 2000 - December 16, 2003
HORNOR, TOWNSEND & KENT, LLC
April 30, 1999 - December 16, 1999
METROPOLITAN LIFE INSURANCE COMPANY
April 30, 1999 - December 16, 1999
MSI FINANCIAL SERVICES, INC.
April 4, 1995 - March 10, 1999
1717 CAPITAL MANAGEMENT COMPANY
January 29, 1991 - April 6, 1995
NEW ENGLAND SECURITIES
March 12, 1986 - May 9, 1989
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.
