William G. Slonecker
Professional summary
William Gregory Slonecker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, William had worked at 5 firms, which includes MSI FINANCIAL SERVICES INC., AMERIPRISE ADVISOR SERVICES INC., CITIGROUP GLOBAL MARKETS INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2008 - February 20, 2008
MSI FINANCIAL SERVICES, INC.
September 10, 2007 - February 20, 2008
MSI FINANCIAL SERVICES, INC.
October 4, 2004 - September 7, 2006
AMERIPRISE ADVISOR SERVICES, INC.
October 1, 2004 - September 7, 2006
AMERIPRISE ADVISOR SERVICES, INC.
April 8, 2004 - October 14, 2004
CITIGROUP GLOBAL MARKETS INC.
May 30, 2001 - October 14, 2004
CITIGROUP GLOBAL MARKETS INC.
July 30, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 30, 1998 - January 19, 2001
EQUITABLE ADVISORS, 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
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