Annette Soldo
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.
Annette Soldo was a registered financial advisor .
Annette is a previously registered financial advisor and started their career in finance in 1988. Annette had worked at 7 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 53, Series 4 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
January 24, 2012 - May 27, 2014
MSI FINANCIAL SERVICES, INC.
July 31, 2009 - September 6, 2013
WALNUT STREET SECURITIES, INC.
July 31, 2009 - September 6, 2013
TOWER SQUARE SECURITIES, INC.
July 31, 2009 - May 27, 2014
NEW ENGLAND SECURITIES
August 24, 2007 - May 27, 2014
MSI FINANCIAL SERVICES, INC.
October 23, 1991 - September 7, 2001
FIRST MONTAUK SECURITIES CORP.
August 15, 1989 - October 23, 1991
PRINCETON SECURITIES CORPORATION
February 23, 1988 - August 23, 1989
THE STUART-JAMES COMPANY, 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
Series 55
Date: 9/25/2007
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.
