David L. Raskin
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.
David Lloyd Raskin, who also goes by Dave Raskin, David L Raskin, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1972. David had worked at 11 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2008 - September 24, 2013
MSI FINANCIAL SERVICES, INC.
February 9, 1998 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
December 5, 1997 - November 7, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 8, 1995 - September 30, 1997
MML INVESTORS SERVICES, LLC
August 16, 1989 - May 8, 1995
HIMCO DISTRIBUTION SERVICES COMPANY
May 23, 1988 - July 17, 1989
JONATHAN ALAN & CO., INC.
November 26, 1986 - April 20, 1989
SG EQUITIES CORPORATION
December 11, 1984 - July 22, 1985
HARMON AMERICAN SECURITIES COMPANY, L.P.
December 11, 1984 - October 21, 1986
TNE INVESTMENT SERVICES CORPORATION
June 1, 1976 - August 30, 1985
LINSCO FINANCIAL GROUP, INC.
November 15, 1972 - July 31, 1975
HOME 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: 11/10/1972
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.
