Robert J. Blain
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.
Robert Jean Blain, who also goes by Bob Blain, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1969. Robert had worked at 9 firms and has passed the Series 63, Series 7, Series 6, Series 1, Series 26, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 1997 - October 4, 2012
MSI FINANCIAL SERVICES, INC.
September 24, 1993 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
September 24, 1993 - October 4, 2012
MSI FINANCIAL SERVICES, INC.
May 13, 1992 - September 16, 1993
CALIFORNIA ONE INVESTMENTS
August 22, 1991 - April 27, 1992
INVEST FINANCIAL CORPORATION
February 20, 1990 - August 14, 1991
IDS LIFE INSURANCE COMPANY
February 20, 1990 - August 14, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
September 13, 1988 - December 16, 1988
AGFC INVESTMENT SECURITIES
November 23, 1973 - January 20, 1978
TRIQUEST FINANCIAL, INC.
October 27, 1969 - February 7, 1974
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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 1
Date: 11/26/1962
Registered Representative ExaminationF04
Date: 9/17/1973
Financial Principal ExaminationSeries 40
Date: 7/7/1969
Registered Principal ExaminationCurrent 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.
