Dayna G. Ritter
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.
Dayna G Ritter, who also goes by Dayna Gay Norris, Dayna Norris, Dayna Gay Ritter, Dayna Ritter, was a registered financial professional .
Dayna is a previously registered financial professional and started their career in finance in 1986. Dayna had worked at 9 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2012 - April 10, 2012
MSI FINANCIAL SERVICES, INC.
November 4, 2011 - December 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 4, 2011 - December 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 13, 2009 - May 20, 2011
QUESTAR ASSET MANAGEMENT, INC.
February 13, 2009 - May 20, 2011
QUESTAR CAPITAL CORPORATION
July 19, 2007 - November 19, 2008
VALIC FINANCIAL ADVISORS, INC.
April 4, 2007 - November 19, 2008
VALIC FINANCIAL ADVISORS, INC.
January 20, 2006 - August 8, 2006
WELLS FARGO CLEARING SERVICES, LLC
February 11, 2004 - May 25, 2005
EDWARD JONES
August 13, 2003 - January 29, 2004
PRUCO SECURITIES, LLC.
October 1, 2000 - January 27, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - January 27, 2003
WELLS FARGO CLEARING SERVICES, LLC
January 26, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
April 3, 1986 - February 11, 1995
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.
