Christopher E. Swatloski
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.
Christopher Eric Swatloski, who also goes by Chris Swatloski, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1995. Christopher had worked at 10 firms and has passed the Series 63, SIE, Series 7 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
May 6, 2016 - August 19, 2016
MSI FINANCIAL SERVICES, INC.
August 18, 2015 - March 25, 2016
EQUITABLE ADVISORS, LLC
October 25, 2005 - May 1, 2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 28, 2004 - August 25, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 24, 2002 - December 19, 2003
VERAVEST INVESTMENTS, INC.
October 26, 2000 - August 13, 2002
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 8, 2000 - September 5, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 8, 2000 - September 5, 2000
OSAIC FA, INC.
May 21, 1998 - May 1, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
December 21, 1995 - May 26, 1998
THE VARIABLE ANNUITY MARKETING COMPANY
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.
