Roya Khairzada
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.
Roya Khairzada, who also goes by Roya Abassi, was a registered financial professional .
Roya is a previously registered financial professional and started their career in finance in 1997. Roya had worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 6, Series 7, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2015 - July 31, 2015
MSI FINANCIAL SERVICES, INC.
January 20, 2012 - October 9, 2013
FARMERS FINANCIAL SOLUTIONS, LLC
March 10, 2011 - September 15, 2011
CITIGROUP GLOBAL MARKETS INC.
December 10, 2008 - April 9, 2010
PRUCO SECURITIES, LLC.
May 5, 2004 - April 20, 2005
PRUCO SECURITIES, LLC.
April 28, 2004 - April 20, 2005
PRUCO SECURITIES, LLC.
August 26, 2002 - April 26, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 16, 2001 - April 26, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 7, 1997 - April 15, 1999
BA INVESTMENT SERVICES, 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.
