Nancy C. Smith
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.
Nancy Carola Smith, who also goes by Nancy Carol Yanez, Nancy Carola Yanez, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 2000. Nancy had worked at 10 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2007 - May 14, 2014
MSI FINANCIAL SERVICES, INC.
January 6, 2006 - September 14, 2011
TOWER SQUARE SECURITIES, INC.
June 29, 2004 - October 1, 2008
METLIFE INVESTORS DISTRIBUTION COMPANY
June 29, 2004 - September 14, 2011
WALNUT STREET SECURITIES, INC.
June 29, 2004 - September 14, 2011
NEW ENGLAND SECURITIES
December 12, 2003 - June 17, 2005
MSI FINANCIAL SERVICES, INC.
December 12, 2003 - April 30, 2007
METROPOLITAN LIFE INSURANCE COMPANY
May 1, 2002 - December 19, 2003
WAMU INVESTMENTS, INC.
November 29, 2001 - May 1, 2002
DIME SECURITIES, INC.
July 18, 2001 - October 18, 2001
NYLIFE SECURITIES LLC
November 10, 2000 - July 12, 2001
QUICK & REILLY, 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.
