David C. Johnson
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.
David Christopher Johnson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 8 firms and has passed the Series 65, Series 63 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
April 18, 2012 - April 30, 2014
MSI FINANCIAL SERVICES, INC.
April 2, 2012 - April 30, 2014
MSI FINANCIAL SERVICES, INC.
October 11, 2011 - April 2, 2012
LPL FINANCIAL LLC
October 11, 2011 - April 2, 2012
LPL FINANCIAL LLC
August 16, 2010 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
August 16, 2010 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
January 22, 2010 - July 23, 2010
CHASE INVESTMENT SERVICES CORP.
December 15, 2009 - July 23, 2010
CHASE INVESTMENT SERVICES CORP.
November 13, 2008 - December 4, 2009
TRANSAMERICA CAPITAL, LLC
March 24, 2008 - November 13, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
November 22, 2006 - March 24, 2008
RIVERSOURCE DISTRIBUTORS, INC.
October 16, 1997 - December 31, 2006
IDS LIFE INSURANCE COMPANY
October 16, 1997 - January 24, 2007
AMERIPRISE FINANCIAL SERVICES, 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
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.
