Sara A. Plunkett-grissom
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.
Sara Alison Plunkett-grissom, who also goes by Sara A Mcclanahan, Sara Alison Mcclanahan, Sara Alison Plunkett, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 1999. Sara had worked at 10 firms and has passed the Series 65, Series 63, SIE 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
January 2, 2015 - August 11, 2015
MSI FINANCIAL SERVICES, INC.
July 17, 2013 - September 30, 2014
NEW ENGLAND SECURITIES
July 3, 2013 - January 2, 2015
NEW ENGLAND SECURITIES
January 28, 2013 - June 18, 2013
MORGAN STANLEY
January 3, 2013 - June 18, 2013
MORGAN STANLEY
June 7, 2012 - December 3, 2012
THE O.N. EQUITY SALES COMPANY
August 16, 2011 - June 8, 2012
LEGEND EQUITIES CORPORATION
August 4, 2008 - December 31, 2009
THE O.N. EQUITY SALES COMPANY
May 9, 2006 - September 1, 2006
ROBERT W. BAIRD & CO. INCORPORATED
October 3, 2005 - January 13, 2006
NATCITY INVESTMENTS, INC.
December 11, 2000 - April 1, 2005
VOYA FINANCIAL PARTNERS, LLC
July 25, 2000 - December 8, 2000
KEYBANC CAPITAL MARKETS INC.
February 28, 2000 - June 1, 2000
NATCITY INSURANCE SERVICES, INC.
January 14, 1999 - June 1, 2000
NATCITY INVESTMENTS, 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.
