Peter K. Chang
Professional summary
Peter Kai Chang was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Peter is a previously registered financial advisor and started their career in finance in 2003. Prior to being barred, Peter had worked at 5 firms, which includes MSI FINANCIAL SERVICES INC., METROPOLITAN LIFE INSURANCE COMPANY, PENSION PLANNERS SECURITIES INC., VALIC FINANCIAL ADVISORS INC., UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2007 - October 17, 2008
MSI FINANCIAL SERVICES, INC.
January 5, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
January 5, 2007 - October 17, 2008
MSI FINANCIAL SERVICES, INC.
June 7, 2004 - October 31, 2006
PENSION PLANNERS SECURITIES, INC.
May 20, 2004 - October 31, 2006
PENSION PLANNERS SECURITIES, INC.
December 18, 2003 - April 19, 2004
VALIC FINANCIAL ADVISORS, INC.
December 18, 2003 - April 19, 2004
VALIC FINANCIAL ADVISORS, INC.
April 28, 2003 - July 10, 2003
UBS FINANCIAL SERVICES INC.
March 27, 2003 - July 10, 2003
UBS 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
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.
