Douglas W. Crook
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.
Douglas William Crook, who also goes by Doug Crook, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1988. Douglas had worked at 14 firms and has passed the Series 63, Series 7, Series 6 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
July 11, 2008 - February 20, 2009
MSI FINANCIAL SERVICES, INC.
March 28, 2008 - July 2, 2008
SUNSET FINANCIAL SERVICES, INC.
April 26, 2007 - April 4, 2008
NYLIFE SECURITIES LLC
December 12, 2005 - November 29, 2006
ONEAMERICA SECURITIES, INC.
January 21, 2004 - March 30, 2005
ALLSTATE FINANCIAL SERVICES, LLC
February 20, 2002 - April 10, 2003
CETERA INVESTMENT SERVICES LLC
August 16, 2001 - September 6, 2001
WADDELL & REED
September 8, 2000 - February 22, 2002
CAPITAL BROKERAGE CORPORATION
March 9, 1998 - August 18, 2000
SUNSET FINANCIAL SERVICES, INC.
August 13, 1997 - February 3, 1998
CUNA BROKERAGE SERVICES, INC.
March 22, 1996 - August 8, 1997
SUNSET FINANCIAL SERVICES, INC.
January 18, 1996 - March 19, 1996
WOODBURY FINANCIAL SERVICES, INC.
September 13, 1995 - January 11, 1996
FIRST INTERSTATE INVESTMENTS,INC.
June 26, 1995 - November 16, 1995
ESSEX NATIONAL SECURITIES, LLC
January 16, 1991 - April 24, 1995
WOODBURY FINANCIAL SERVICES, INC.
August 21, 1989 - January 11, 1991
THE O.N. EQUITY SALES COMPANY
May 10, 1989 - August 28, 1989
MML INVESTORS SERVICES, LLC
June 10, 1988 - April 25, 1989
WOODBURY FINANCIAL SERVICES, INC.
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.
