Walter Bennett
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.
Walter Bennett, who also goes by Walter Leonard Bennett, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1996. Walter had worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 31 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
November 24, 2010 - April 30, 2012
MSI FINANCIAL SERVICES, INC.
October 22, 2010 - April 30, 2012
MSI FINANCIAL SERVICES, INC.
June 8, 2006 - February 26, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 7, 2006 - February 26, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 2004 - January 13, 2006
WELLS FARGO CLEARING SERVICES, LLC
October 9, 2001 - January 13, 2006
WELLS FARGO CLEARING SERVICES, LLC
August 23, 1996 - October 5, 2001
MORGAN STANLEY DW 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.
