Peggy I. Polomcean
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.
Peggy Irene Polomcean, who also goes by Peggy Irene Furgeson, Peggy I Polomcean Ms, Peggy I Polomcean, Peggy Irene Polomcean, was a registered financial professional .
Peggy is a previously registered financial professional and started their career in finance in 1990. Peggy had worked at 14 firms and has passed the Series 63, Series 65, SIE 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
July 14, 2014 - December 2, 2015
MSI FINANCIAL SERVICES, INC.
November 13, 2013 - February 4, 2014
NATIONWIDE SECURITIES, LLC
August 13, 2013 - September 13, 2013
ALLSTATE FINANCIAL SERVICES, LLC
December 2, 2009 - August 16, 2011
NATIONWIDE SECURITIES, LLC
July 31, 2008 - May 19, 2009
MSI FINANCIAL SERVICES, INC.
May 17, 2007 - July 21, 2008
NATIONWIDE SECURITIES, LLC
May 28, 2003 - August 11, 2003
EQUITABLE ADVISORS, LLC
February 16, 2001 - April 25, 2003
FORESTERS EQUITY SERVICES, INC.
May 3, 2000 - March 1, 2001
CITISTREET EQUITIES LLC
December 3, 1999 - June 9, 2000
CITICORP INVESTMENT SERVICES
December 2, 1998 - April 27, 1999
IDS LIFE INSURANCE COMPANY
December 2, 1998 - April 27, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
December 20, 1997 - July 24, 1998
THE CONCORD EQUITY GROUP, LLC
December 9, 1997 - June 11, 1999
CITISTREET EQUITIES LLC
August 28, 1995 - December 20, 1997
LESKO SECURITIES INC.
April 26, 1995 - August 17, 1995
OSAIC WEALTH, INC.
September 26, 1994 - April 26, 1995
FORESTERS FINANCIAL SERVICES, INC.
May 4, 1992 - February 8, 1994
PRUCO SECURITIES, LLC.
December 4, 1990 - April 14, 1992
LESKO SECURITIES 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.
