Aida E. Nema
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.
Aida E Nema, who also goes by Aida Adler, was a registered financial professional .
Aida is a previously registered financial professional and started their career in finance in 1986. Aida had worked at 6 firms and has passed the Series 63, 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
May 7, 2010 - December 12, 2012
MSI FINANCIAL SERVICES, INC.
February 12, 1999 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
February 12, 1999 - October 14, 2008
MSI FINANCIAL SERVICES, INC.
May 9, 1990 - March 2, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 9, 1990 - March 2, 1992
EQUITABLE ADVISORS, LLC
July 20, 1987 - August 23, 1988
GRUNTAL & CO., L.L.C.
September 10, 1986 - July 7, 1987
USLIFE EQUITY SALES CORP.
April 9, 1986 - July 21, 1986
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 9, 1986 - July 23, 1986
EQUITABLE ADVISORS, 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.
