Edward R. Mounts
Professional summary
Edward Ray Mounts was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Edward is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Edward had worked at 8 firms, which includes MSI FINANCIAL SERVICES INC., METROPOLITAN LIFE INSURANCE COMPANY, NCF FINANCIAL SERVICES INC., INVEST FINANCIAL CORPORATION, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, CITY FINANCIAL CORPORATION, DETWILER FENTON WEALTH MANAGEMENT INC, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2003 - February 7, 2007
MSI FINANCIAL SERVICES, INC.
December 20, 2002 - February 7, 2007
METROPOLITAN LIFE INSURANCE COMPANY
December 20, 2002 - February 7, 2007
MSI FINANCIAL SERVICES, INC.
September 30, 2002 - November 25, 2002
NCF FINANCIAL SERVICES, INC.
September 30, 2002 - November 25, 2002
NCF FINANCIAL SERVICES, INC.
July 16, 2002 - September 30, 2002
INVEST FINANCIAL CORPORATION
June 24, 2002 - September 30, 2002
INVEST FINANCIAL CORPORATION
May 4, 2001 - April 25, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 14, 2001 - April 25, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 7, 1999 - October 20, 2000
CITY FINANCIAL CORPORATION
October 14, 1996 - May 5, 1998
DETWILER FENTON WEALTH MANAGEMENT INC
June 18, 1996 - October 4, 1996
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
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