Corey L. Battey
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.
Corey Lamar Battey, who also goes by Corey Battey, was a registered financial advisor .
Corey is a previously registered financial advisor and started their career in finance in 2000. Corey had worked at 4 firms and has passed the Series 63, Series 66, Series 6 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
May 6, 2008 - February 22, 2010
MSI FINANCIAL SERVICES, INC.
December 19, 2003 - December 6, 2004
WELLS FARGO CLEARING SERVICES, LLC
December 5, 2003 - December 6, 2004
WELLS FARGO CLEARING SERVICES, LLC
August 2, 2002 - May 8, 2003
EQUITABLE ADVISORS, LLC
June 28, 2002 - May 8, 2003
EQUITABLE ADVISORS, LLC
February 24, 2000 - June 25, 2002
MSI FINANCIAL SERVICES, INC.
February 21, 2000 - June 25, 2002
METROPOLITAN LIFE INSURANCE COMPANY
February 21, 2000 - June 25, 2002
MSI 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.
