William R. Stratton
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.
William Robert Stratton, who also goes by Bob Stratton, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1970. William had worked at 14 firms and has passed the Series 63, PC, Series 000 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
January 2, 1997 - August 26, 2004
MSI FINANCIAL SERVICES, INC.
August 6, 1996 - August 26, 2004
METROPOLITAN LIFE INSURANCE COMPANY
August 6, 1996 - August 26, 2004
MSI FINANCIAL SERVICES, INC.
February 5, 1993 - March 11, 1996
T.L. SMITH SECURITIES
November 16, 1989 - March 11, 1991
WADDELL & REED
September 18, 1987 - October 11, 1989
WEDBUSH SECURITIES INC.
January 3, 1983 - September 22, 1987
E. F. HUTTON & COMPANY INC
April 13, 1981 - January 14, 1983
RAUSCHER PIERCE REFSNES, INC.
November 30, 1978 - March 8, 1981
MORGAN STANLEY DW INC.
December 31, 1973 - May 21, 1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
December 28, 1973 - January 26, 1983
WEDBUSH SECURITIES INC.
May 7, 1973 - February 26, 1974
HARVEY ASSOCIATES, INC.
February 28, 1973 - June 29, 1973
UNITED SECURITIES COMPANY OF AMERICA
May 8, 1972 - May 12, 1973
May 17, 1971 - July 15, 1972
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
December 23, 1970 - August 16, 1972
GOODBODY & CO. INCORPORATED
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
PC
Date: 5/1/1977
AMEX Put and Call ExamSeries 000
Date: 8/30/1968
General Securities Principal ExaminationSeries 1
Date: 8/30/1968
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.
