Kathryn M. Anderson
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.
Kathryn Marie Anderson, who also goes by Kathryn Marie Gottzman, Kathi Gottzmann, Kathryn Maria Gottzmann, Kathryn Marie Southwell, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1986. Kathryn had worked at 20 firms and has passed the 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
May 27, 2014 - October 8, 2014
MSI FINANCIAL SERVICES, INC.
April 7, 2014 - April 28, 2014
FORESTERS FINANCIAL SERVICES, INC.
September 17, 2002 - April 10, 2003
M&T SECURITIES, INC.
February 28, 2002 - August 27, 2002
MONY SECURITIES CORPORATION
December 5, 2001 - March 6, 2002
EQUITY SERVICES, INC.
April 28, 2000 - November 6, 2001
CHARTER ONE SECURITIES, INC.
April 7, 2000 - April 28, 2000
CITICORP INVESTMENT SERVICES
March 15, 1999 - March 30, 2000
CHARTER ONE SECURITIES, INC.
January 7, 1999 - March 15, 1999
LOCUST STREET SECURITIES, INC.
October 14, 1997 - January 7, 1999
AMERICAN GENERAL SECURITIES INCORPORATED
May 19, 1997 - October 6, 1997
LPL FINANCIAL LLC
June 4, 1996 - May 19, 1997
FIS SECURITIES, INC.
July 12, 1995 - April 25, 1996
MONY SECURITIES CORPORATION
January 10, 1995 - June 19, 1995
HSBC BROKERAGE (USA) INC.
October 10, 1994 - January 3, 1995
NATIONSSECURITIES
August 27, 1993 - June 7, 1994
COMMUNITY SECURITIES, INC.
June 4, 1991 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
March 18, 1991 - November 27, 1992
CITICORP INVESTMENT SERVICES
September 22, 1989 - March 27, 1991
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 28, 1989 - September 29, 1989
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
May 5, 1989 - August 11, 1989
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
May 5, 1989 - August 11, 1989
MONY SECURITIES CORPORATION
March 13, 1987 - April 19, 1989
EMPIRE NATIONAL SECURITIES, INCORPORATED
July 23, 1986 - December 18, 1986
MICHELIN AND COMPANY, 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.
