Kevin C. Rhodes
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.
Kevin Charles Rhodes was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1992. Kevin had worked at 10 firms and has passed the Series 65, Series 63, 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 24, 2015 - March 11, 2016
MSI FINANCIAL SERVICES, INC.
January 9, 2008 - January 2, 2015
EQUITABLE ADVISORS, LLC
June 24, 2005 - November 3, 2006
GREAT EASTERN SECURITIES, INC.
February 6, 2004 - November 11, 2004
WELLS FARGO INVESTMENTS, LLC
February 6, 2004 - November 11, 2004
WELLS FARGO INVESTMENTS, LLC
March 18, 2003 - January 20, 2004
CITICORP INVESTMENT SERVICES
March 18, 2003 - January 20, 2004
CITICORP INVESTMENT SERVICES
July 23, 2001 - March 12, 2003
CUSO FINANCIAL SERVICES, L.P.
February 27, 2001 - March 12, 2003
CUSO FINANCIAL SERVICES, L.P.
January 10, 1997 - March 5, 2001
WELLS FARGO SECURITIES INC.
August 29, 1995 - June 20, 1996
PRINCIPAL SECURITIES, INC.
March 21, 1995 - August 10, 1995
THE ADVISORS GROUP, INC.
September 16, 1992 - February 9, 1995
FIDELITY BROKERAGE SERVICES LLC
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.
