Mark S. Brotherton
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.
Mark Steven Brotherton, who also goes by Mark S. Brotherton, Steve Brotherton, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1995. Mark had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
February 4, 2013 - December 24, 2013
MSI FINANCIAL SERVICES, INC.
July 30, 2008 - December 24, 2013
NEW ENGLAND SECURITIES
July 29, 2008 - December 24, 2013
NEW ENGLAND SECURITIES
March 15, 2004 - July 10, 2008
EQUITABLE ADVISORS, LLC
September 27, 1999 - July 10, 2008
EQUITABLE ADVISORS, LLC
September 3, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 25, 1997 - September 1, 1999
THE LEADERS GROUP, INC.
March 4, 1996 - August 11, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
September 26, 1995 - December 31, 1996
WALL STREET ACCESS
March 29, 1995 - January 30, 1996
SEDGWICK INVESTMENTS, 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.
