Carl L. Walbert
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.
Carl Leon Walbert was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1995. Carl had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2016 - November 29, 2016
MSI FINANCIAL SERVICES, INC.
July 16, 2015 - December 14, 2015
CALTON & ASSOCIATES, INC.
August 9, 2005 - May 20, 2015
CETERA INVESTMENT SERVICES LLC
December 7, 2004 - May 9, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
October 15, 2004 - December 17, 2004
SUNAMERICA SECURITIES, INC.
October 30, 1998 - September 20, 2004
PENN SECURITIES, INC.
April 10, 1998 - October 30, 1998
COMPULIFE INVESTOR SERVICES, INC.
August 17, 1995 - March 31, 1998
PRUCO SECURITIES, LLC.
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.
