Ruby S. Teich
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.
Ruby Susan Teich was a registered financial professional .
Ruby is a previously registered financial professional and started their career in finance in 1996. Ruby had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2016 - June 16, 2016
MSI FINANCIAL SERVICES, INC.
January 5, 2016 - June 16, 2016
MSI FINANCIAL SERVICES, INC.
July 9, 2014 - January 11, 2016
EQUITABLE ADVISORS, LLC
June 30, 2014 - January 11, 2016
EQUITABLE ADVISORS, LLC
December 16, 2011 - August 16, 2012
MORGAN STANLEY
September 27, 2011 - August 16, 2012
MORGAN STANLEY
July 1, 2011 - July 20, 2011
T3 TRADING GROUP, LLC
April 1, 2004 - July 28, 2004
LIGHTSPEED PROFESSIONAL TRADING LLC
January 17, 1997 - April 24, 2002
SCHONFELD SECURITIES, LLC
November 18, 1996 - November 20, 1996
SCHONFELD 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
Series 55
Date: 10/20/1999
Limited Representative-Equity Trader ExamCurrent 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.
