George R. Mercer
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.
George Ronald Mercer, who also goes by George Ronald Mercer Jr, George Ronald Mercer, Ronnie Mercer Jr, Ronnie Mercer Sr, Ronnie Mercer, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1973. George had worked at 8 firms and has passed the Series 63, Series 7, Series 6, Series 1, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2006 - April 16, 2012
MSI FINANCIAL SERVICES, INC.
July 18, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
July 18, 2005 - April 16, 2012
MSI FINANCIAL SERVICES, INC.
November 1, 1995 - June 10, 1999
BMA FINANCIAL SERVICES, INC.
March 8, 1994 - September 19, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 8, 1994 - September 19, 1995
EQUITABLE ADVISORS, LLC
December 23, 1991 - January 1, 1992
A. G. EDWARDS & SONS, INC.
March 27, 1975 - January 29, 1991
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 27, 1975 - January 29, 1991
OSAIC FA, INC.
March 23, 1973 - October 26, 1973
OSAIC FA, INC.
March 23, 1973 - January 29, 1991
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
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
Series 1
Date: 3/21/1973
Registered Representative ExaminationCurrent 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.
