William S. Hyman
Professional summary
William S Hyman was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, William had worked at 6 firms, which includes MSI FINANCIAL SERVICES INC., NEW ENGLAND SECURITIES, BLINDER ROBINSON & CO. INC., HALE SECURITIES CORP., KENNETH BOVE & CO. INC., LINCOLN SECURITIES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2015 - April 21, 2017
MSI FINANCIAL SERVICES, INC.
September 3, 1975 - January 2, 2015
NEW ENGLAND SECURITIES
June 26, 1973 - September 1, 1973
BLINDER, ROBINSON & CO., INC.
March 15, 1971 - July 29, 1974
HALE SECURITIES CORP.
October 2, 1970 - August 17, 1972
KENNETH BOVE & CO., INC.
September 1, 1970 - February 28, 1975
LINCOLN SECURITIES
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: 3/14/1969
Registered Representative ExaminationSeries 00
Date: 8/27/1970
General Securities 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.
