Amy M. Catching
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.
Amy Marie Catching, who also goes by Amy Marie Gerstle, was a registered financial advisor .
Amy is a previously registered financial advisor and started their career in finance in 1997. Amy had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 53, Series 4 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
November 24, 2009 - March 4, 2011
MSI FINANCIAL SERVICES, INC.
December 14, 2007 - March 4, 2011
MSI FINANCIAL SERVICES, INC.
January 12, 2005 - November 30, 2007
NEXT FINANCIAL GROUP, INC.
December 15, 2004 - November 30, 2007
NEXT FINANCIAL GROUP, INC.
January 23, 2001 - December 10, 2004
TRADESTAR INVESTMENTS,INC.
January 23, 2001 - December 10, 2004
FISERV INVESTOR SERVICES, INC.
March 23, 2000 - December 31, 2000
ADVANTAGE CAPITAL CORPORATION
December 18, 1997 - March 21, 2000
INVESCO CAPITAL MARKETS, 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.
