Gregory A. Shepherd
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.
Gregory Allan Shepherd, who also goes by Greg Shepherd, Gregory A Shepherd, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1992. Gregory had worked at 11 firms and has passed the Series 63, Series 66, SIE, 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
April 13, 2015 - June 1, 2016
MSI FINANCIAL SERVICES, INC.
February 4, 2013 - August 7, 2014
ALLSTATE FINANCIAL SERVICES, LLC
March 27, 2009 - July 13, 2010
METLIFE INVESTORS DISTRIBUTION COMPANY
March 23, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
March 23, 2007 - April 8, 2009
MSI FINANCIAL SERVICES, INC.
January 2, 2004 - February 15, 2006
TOWER SQUARE SECURITIES, INC.
March 15, 2002 - June 4, 2003
PRUCO SECURITIES, LLC.
October 24, 2000 - January 28, 2002
MUTUAL SERVICE CORPORATION
March 29, 2000 - November 3, 2000
1717 CAPITAL MANAGEMENT COMPANY
June 9, 1998 - March 21, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 1, 1993 - December 14, 1995
SENTRA SECURITIES CORPORATION
October 5, 1992 - July 21, 1993
SIGNATOR 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.
