Mohsin Rashid
Professional summary
Mohsin Rashid was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mohsin is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Mohsin had worked at 3 firms, which includes MSI FINANCIAL SERVICES INC., 1717 CAPITAL MANAGEMENT COMPANY, METROPOLITAN LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2007 - December 23, 2010
MSI FINANCIAL SERVICES, INC.
September 25, 2006 - August 22, 2007
1717 CAPITAL MANAGEMENT COMPANY
May 19, 1998 - September 28, 2006
METROPOLITAN LIFE INSURANCE COMPANY
May 19, 1998 - September 28, 2006
MSI FINANCIAL 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
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