Daniel D. Lauretti
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.
Daniel Duffy Lauretti, who also goes by Dan Lauretti, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1987. Daniel had worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2012 - October 11, 2013
MSI FINANCIAL SERVICES, INC.
October 17, 2012 - October 11, 2013
NEW ENGLAND SECURITIES
October 17, 2012 - October 11, 2013
METLIFE INVESTORS DISTRIBUTION COMPANY
May 4, 2009 - October 29, 2012
MSI FINANCIAL SERVICES, INC.
April 1, 2006 - May 4, 2009
METLIFE INVESTORS DISTRIBUTION COMPANY
October 14, 1997 - April 1, 2006
TOWER SQUARE SECURITIES, INC.
June 30, 1997 - August 29, 1997
MECHANICS INVESTMENT SERVICES, INC.
December 12, 1994 - July 17, 1997
APEX CLEARING CORPORATION
April 30, 1991 - December 13, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
June 13, 1988 - April 30, 1991
MABON, NUGENT & CO.
February 26, 1987 - June 14, 1988
INVEST FINANCIAL CORPORATION
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.
