William C. Mott
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.
William Casey Mott, who also goes by Casey Mott, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1994. William had worked at 10 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
March 9, 2012 - April 27, 2012
MSI FINANCIAL SERVICES, INC.
September 6, 2011 - January 10, 2012
ALPHASTAR CAPITAL MANAGEMENT
February 14, 2011 - August 9, 2011
REGAL INVESTMENT ADVISORS LLC
October 19, 2010 - January 21, 2011
MML INVESTORS SERVICES, LLC
July 19, 2010 - October 7, 2010
BB&T INVESTMENT SERVICES, INC.
July 13, 2010 - October 7, 2010
BB&T INVESTMENT SERVICES, INC.
January 11, 2010 - March 18, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 11, 2010 - March 18, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 31, 2001 - January 8, 2010
CETERA WEALTH SERVICES, LLC
December 7, 1998 - January 8, 2010
CETERA WEALTH SERVICES, LLC
December 4, 1997 - December 10, 1998
SUNAMERICA SECURITIES, INC.
November 14, 1994 - November 16, 1995
EDWARD JONES
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.
