Susan Ashby
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.
Susan Ashby, who also goes by Susan Ashby Pike, Susan Ashby Wicker, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1996. Susan had worked at 6 firms and has passed the Series 65, Series 63, 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
January 20, 2010 - July 10, 2013
MSI FINANCIAL SERVICES, INC.
September 16, 2009 - July 10, 2013
MSI FINANCIAL SERVICES, INC.
January 17, 2008 - July 23, 2009
VALIC FINANCIAL ADVISORS, INC.
January 15, 2008 - July 23, 2009
VALIC FINANCIAL ADVISORS, INC.
December 5, 2003 - January 31, 2008
LPL FINANCIAL LLC
November 26, 2003 - January 31, 2008
LPL FINANCIAL LLC
March 1, 2000 - July 25, 2003
CITIGROUP GLOBAL MARKETS INC.
March 1, 2000 - July 25, 2003
CITIGROUP GLOBAL MARKETS INC.
May 2, 1996 - March 16, 2000
CHARLES SCHWAB & CO., INC.
April 1, 1996 - May 2, 1996
NYLIFE 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.
