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Lowell A. Chick

Some features on this profile are disabled
CRD#: 2778163
LC

Professional summary

Lowell Andrew Chick was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Lowell is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Lowell had worked at 3 firms, which includes MSI FINANCIAL SERVICES INC., EQUITABLE ADVISORS LLC, METROPOLITAN LIFE INSURANCE COMPANY.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 20, 2009 - October 27, 2010

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
WILLIAMSVILLE, NY
Past

November 7, 2005 - August 26, 2009

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
WILLIAMSVILLE, NY
Past

August 29, 1996 - October 24, 2005

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

August 29, 1996 - October 24, 2005

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/23/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 8/27/1996
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MF
MSI FINANCIAL SERVICES, INC.
METLIFE SECURITIES INC. | MSI FINANCIAL SERVICES, INC. | METLIFE SECURITIES, INC

CRD#: 14251 / SEC#: 801-22306, 8-30447

BD
Terminated by SEC on 07/03/2017
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Contact information

Main Address
1295 State Street, Springfield, MA 01111
Mailing Address
Phone number
Established
Delaware since 08/15/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

FUND SELECT/FUND SELECT PREMIER PROGRAMS DISCLOSURE BROCHURE (1/3/2017)
MANAGER SELECT PREMIER WRAP FEE BROCHURE (1/3/2017)
FIDUCIARY INVESTMENT ADVISER PROGRAM (12/6/2016)
FINANCIAL PLANNING SERVICES (12/5/2016)
DISCLOSURE BROCHURES FOR THIRD PARTY PROGRAMS (EXPANDED) (12/5/2016)
DISCLOSURE BROCHURE FOR THIRD PARTY PROGRAMS (12/5/2016)
ADVISOR SELECT PROGRAM WRAP FEE BROCHURE (12/5/2016)
FUND MANAGEMENT SERVICES PROGRAM DISCLOSURE BROCHURE (12/5/2016)
MANAGER SELECT WRAP FEE BROCHURE (12/5/2016)

Direct owners and executive officers

NamePositionCRD#
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYDIRECT OWNER
BENSON, WENDY ANNCHIEF EXECUTIVE OFFICER AND DIRECTOR2140720
CHICARES, ELIZABETH WARDDIRECTOR2194754
FANNING, MICHAEL ROBERTDIRECTOR1620072
FRANCELLA, AMYSECRETARY AND CHIEF LEGAL OFFICER1881552
FREDERICK, CHRISTINE SPENCERCHIEF COMPLIANCE OFFICER2641636
HOLTZER, DAVID MICHAELPRESIDENT4345697

Disclosures

Regulatory Event41
Civil Event1
Arbitration13
Bond2

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.

Company Information

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

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