Julia Stuart
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.
Julia Stuart, who also goes by Julia Notley, Julia Short, Julia Stuart-jones, was a registered financial professional .
Julia is a previously registered financial professional and started their career in finance in 1995. Julia had worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2009 - November 8, 2012
MSI FINANCIAL SERVICES, INC.
August 7, 2009 - November 8, 2012
MSI FINANCIAL SERVICES, INC.
March 22, 2007 - February 4, 2009
CETERA INVESTMENT SERVICES LLC
March 22, 2007 - February 4, 2009
CETERA INVESTMENT SERVICES LLC
November 15, 2005 - January 4, 2007
CITICORP INVESTMENT SERVICES
July 29, 2004 - January 4, 2007
CITICORP INVESTMENT SERVICES
May 27, 2004 - July 23, 2004
UBS FINANCIAL SERVICES INC.
December 16, 1998 - July 23, 2004
UBS FINANCIAL SERVICES INC.
April 21, 1995 - December 15, 1998
CITIGROUP GLOBAL MARKETS 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
Series 8
Date: 7/29/1996
General Securities Sales Supervisor Examination (Options Module & General Module)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.
