Chiiching G. Sun
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.
Chiiching Grace Sun, who also goes by Grace Sun, was a registered financial professional .
Chiiching is a previously registered financial professional and started their career in finance in 1996. Chiiching had worked at 6 firms and has passed the Series 63, Series 65, Series 6, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2011 - April 16, 2012
MSI FINANCIAL SERVICES, INC.
September 16, 2005 - January 9, 2006
ALLSTATE FINANCIAL SERVICES, LLC
September 8, 2004 - September 8, 2005
ALLSTATE FINANCIAL SERVICES, LLC
February 12, 2004 - August 26, 2004
MML INVESTORS SERVICES, LLC
August 14, 2001 - January 26, 2004
NEW ENGLAND SECURITIES
June 19, 2000 - October 5, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 6, 1999 - June 6, 2000
METROPOLITAN LIFE INSURANCE COMPANY
October 6, 1999 - June 6, 2000
MSI FINANCIAL SERVICES, INC.
July 30, 1999 - September 10, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 1996 - July 27, 1999
METROPOLITAN LIFE INSURANCE COMPANY
October 30, 1996 - July 27, 1999
MSI FINANCIAL SERVICES, 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.
