Roger Phung
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.
Roger Phung, who also goes by Dat Phung, Dat Phung, Roger Phung, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1994. Roger had worked at 10 firms and has passed the Series 63, Series 7, Series 6, Series 3 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
January 28, 2013 - February 14, 2013
MSI FINANCIAL SERVICES, INC.
August 3, 2005 - December 3, 2012
ALLSTATE FINANCIAL SERVICES, LLC
July 29, 2004 - September 6, 2005
RICHAVE FINANCIAL, INC.
November 21, 2003 - August 16, 2004
GOLDEN BENEFICIAL SECURITIES CORPORATION
February 22, 2001 - December 31, 2001
SUMMIT TRADING, INC.
August 28, 2000 - February 6, 2001
WHITE PACIFIC SECURITIES, INC.
April 15, 1999 - October 9, 2000
PROVIDENTIAL SECURITIES, INC.
March 21, 1998 - March 30, 1999
VOYA FINANCIAL ADVISORS, INC.
December 20, 1996 - April 14, 1998
OSAIC FS, INC.
August 15, 1996 - June 6, 1997
VOYA FINANCIAL ADVISORS, INC.
October 10, 1994 - August 15, 1996
WMA 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.
