Robert P. Lappin
Professional summary
Robert Peter Lappin was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert Peter Lappin, who also goes by Pete Lappin, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1986. Robert had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 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
January 2, 2015 - February 20, 2015
MSI FINANCIAL SERVICES, INC.
January 2, 2015 - February 20, 2015
MSI FINANCIAL SERVICES, INC.
October 5, 2011 - January 2, 2015
NEW ENGLAND SECURITIES
June 6, 2011 - January 2, 2015
NEW ENGLAND SECURITIES
June 30, 2006 - June 2, 2011
WEDBUSH SECURITIES INC.
June 30, 2006 - June 2, 2011
WEDBUSH SECURITIES INC.
April 13, 2006 - July 5, 2006
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1999 - July 5, 2006
WELLS FARGO CLEARING SERVICES, LLC
August 13, 1997 - August 30, 1999
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - August 15, 1997
CITIGROUP GLOBAL MARKETS INC.
July 24, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
November 21, 1986 - July 27, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
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