Billy J. Thoma
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.
Billy John Thoma, who also goes by Bill Thoma, was a registered financial professional .
Billy is a previously registered financial professional and started their career in finance in 1997. Billy had worked at 6 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
October 22, 2009 - March 5, 2014
MSI FINANCIAL SERVICES, INC.
July 10, 2009 - March 5, 2014
MSI FINANCIAL SERVICES, INC.
January 1, 2007 - January 15, 2009
STOCKCROSS FINANCIAL SERVICES, INC.
September 12, 2003 - November 7, 2005
SELECT ADVISORY SERVICES, LLC
December 11, 2002 - November 8, 2005
FISERV INVESTOR SERVICES, INC.
December 6, 2002 - January 1, 2007
TRADESTAR INVESTMENTS,INC.
May 19, 1997 - December 6, 2002
MORGAN STANLEY DW INC.
May 12, 1997 - December 6, 2002
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.
