Steven Curl
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.
Steven Curl, who also goes by Steven "steel" Curl, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1986. Steven had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2009 - July 29, 2015
MSI FINANCIAL SERVICES, INC.
August 24, 2009 - July 29, 2015
MSI FINANCIAL SERVICES, INC.
May 13, 2008 - September 14, 2009
WELLS FARGO INVESTMENTS, LLC
May 8, 2008 - September 14, 2009
WELLS FARGO INVESTMENTS, LLC
August 24, 2006 - May 9, 2008
RBC CAPITAL MARKETS, LLC
August 11, 2006 - May 9, 2008
RBC CAPITAL MARKETS, LLC
December 10, 2004 - August 21, 2006
AMERIPRISE ADVISOR SERVICES, INC.
December 7, 2004 - August 21, 2006
AMERIPRISE ADVISOR SERVICES, INC.
May 16, 2003 - December 8, 2004
HILLTOP SECURITIES INC.
May 16, 2003 - December 8, 2004
HILLTOP SECURITIES INC.
March 31, 1992 - May 19, 2003
MORGAN STANLEY DW INC.
August 21, 1986 - May 19, 2003
MORGAN STANLEY DW 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.
