Stephen T. Schick
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.
Stephen Thomas Schick, who also goes by Stephen Tom Schick, Tom Schick, Stephen T Schick, Stephen T. "tom" Schick, Stephen Thomas Schick, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1989. Stephen had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2015 - January 17, 2017
MSI FINANCIAL SERVICES, INC.
January 2, 2015 - January 17, 2017
MSI FINANCIAL SERVICES, INC.
March 29, 2012 - January 2, 2015
NEW ENGLAND SECURITIES
March 13, 2012 - January 2, 2015
NEW ENGLAND SECURITIES
January 3, 2012 - February 24, 2012
PURSHE KAPLAN STERLING INVESTMENTS
June 16, 2011 - February 29, 2012
FAMILY WEALTH PARTNERS
January 26, 2011 - June 16, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
January 26, 2011 - December 31, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
October 3, 2005 - October 7, 2010
WOODBURY FINANCIAL SERVICES, INC.
October 3, 2005 - October 7, 2010
WOODBURY FINANCIAL SERVICES, INC.
April 1, 2002 - September 30, 2005
OSAIC FA, INC.
March 8, 2002 - September 30, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 8, 2002 - September 30, 2005
OSAIC FA, INC.
July 20, 2000 - April 10, 2002
MML INVESTORS SERVICES, LLC
August 15, 1989 - June 22, 2000
NEW ENGLAND SECURITIES
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.
