Paul A. Moscicki
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.
Paul Anthony Moscicki, who also goes by Paul A Moscicki, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1987. Paul had worked at 9 firms and has passed the Series 66, SIE 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
September 9, 2015 - April 26, 2016
MSI FINANCIAL SERVICES, INC.
August 11, 2015 - April 26, 2016
MSI FINANCIAL SERVICES, INC.
April 29, 2014 - August 3, 2015
EDWARD JONES
April 28, 2014 - August 3, 2015
EDWARD JONES
December 11, 2012 - October 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 28, 2012 - October 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 17, 2009 - February 26, 2010
J.P. TURNER & COMPANY, L.L.C.
March 25, 2003 - October 3, 2003
BGC FINANCIAL, L.P.
December 11, 1997 - March 15, 1998
TULLETT & TOKYO SECURITIES, INC.
June 1, 1993 - July 1, 1994
TRADITION SECURITIES AND DERIVATIVES LLC
January 19, 1988 - September 27, 1991
ICAP SECURITIES USA LLC
October 16, 1987 - November 30, 1987
GARBAN CAPITAL MARKETS LLC
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.
