David F. Price
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.
David Franklin Price III, who also goes by David Franklin Price, was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1987. David had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 55, Series 3, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2005 - May 13, 2005
MSI FINANCIAL SERVICES, INC.
September 15, 2004 - May 13, 2005
METROPOLITAN LIFE INSURANCE COMPANY
September 15, 2004 - May 13, 2005
MSI FINANCIAL SERVICES, INC.
January 8, 2004 - August 19, 2004
DAVID LERNER ASSOCIATES, INC.
March 14, 2000 - August 21, 2000
GINTEL & CO., LLC
July 31, 1999 - January 26, 2000
C. L. KING & ASSOCIATES, INC.
June 12, 1996 - December 8, 1997
SHARPE CAPITAL, INC.
April 1, 1996 - May 14, 1996
J.P. MORGAN SECURITIES INC.
September 24, 1991 - April 1, 1996
CHASE SECURITIES, INC.
August 31, 1988 - August 23, 1991
ABN AMRO INCORPORATED
July 11, 1987 - July 13, 1987
BERLIND SECURITIES INC.
July 11, 1987 - October 1, 1987
STEINBERG & LYMAN
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
Series 55
Date: 4/20/2000
Limited Representative-Equity Trader ExamCurrent 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.
