Marilyn A. Berry
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.
Marilyn Anne Berry was a registered financial professional .
Marilyn is a previously registered financial professional and started their career in finance in 1996. Marilyn had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2015 - November 23, 2015
MSI FINANCIAL SERVICES, INC.
May 22, 2013 - September 10, 2013
EDWARD JONES
May 17, 2013 - September 10, 2013
EDWARD JONES
August 16, 2012 - May 15, 2013
BB&T INVESTMENT SERVICES, INC.
August 15, 2012 - May 15, 2013
BB&T INVESTMENT SERVICES, INC.
August 25, 2011 - July 17, 2012
UBS FINANCIAL SERVICES INC.
July 27, 2011 - July 17, 2012
UBS FINANCIAL SERVICES INC.
May 5, 2006 - May 28, 2010
CETERA FINANCIAL SPECIALISTS LLC
December 18, 2003 - June 3, 2004
VALIC FINANCIAL ADVISORS, INC.
December 18, 2003 - June 3, 2004
VALIC FINANCIAL ADVISORS, INC.
October 7, 2003 - December 18, 2003
AMERIPRISE ADVISOR SERVICES, INC.
October 7, 2003 - December 18, 2003
AMERIPRISE ADVISOR SERVICES, INC.
March 6, 2002 - October 17, 2003
BB&T INVESTMENT SERVICES, INC.
March 29, 2001 - October 17, 2003
BB&T INVESTMENT SERVICES, INC.
November 16, 1999 - January 6, 2000
CRESTAR SECURITIES CORPORATION
April 19, 1999 - November 10, 1999
A. G. EDWARDS & SONS, INC.
May 12, 1997 - March 26, 1999
FIRST UNION BROKERAGE SERVICES, INC.
June 20, 1996 - January 29, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
