Molly A. Wong
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.
Molly Ann Wong, who also goes by Molly A Wong, was a registered financial professional .
Molly is a previously registered financial professional and started their career in finance in 1994. Molly had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2010 - October 23, 2012
MSI FINANCIAL SERVICES, INC.
December 10, 2010 - October 23, 2012
MSI FINANCIAL SERVICES, INC.
November 13, 2007 - December 18, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 12, 2007 - December 18, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 29, 2006 - June 22, 2007
STATE FARM VP MANAGEMENT CORP.
July 6, 2005 - November 28, 2005
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - November 28, 2005
CHASE INVESTMENT SERVICES CORP.
February 22, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
February 22, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
January 12, 2004 - January 10, 2005
KEYBANC CAPITAL MARKETS INC.
January 12, 2004 - January 10, 2005
KEYBANC CAPITAL MARKETS INC.
September 17, 2001 - May 28, 2002
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
August 30, 2000 - May 28, 2002
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
July 8, 1994 - July 18, 2000
CHARLES SCHWAB & CO., INC.
April 12, 1994 - June 29, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
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.
