John M. Rago
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.
John Michael Rago was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2001. John had worked at 10 firms and has passed the Series 63, SIE 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
January 8, 2015 - January 10, 2017
MSI FINANCIAL SERVICES, INC.
May 7, 2012 - September 15, 2014
AMERICAN CAPITAL PARTNERS, LLC
July 7, 2010 - June 9, 2011
AMUNI FINANCIAL, INC.
April 9, 2007 - November 21, 2008
SAXONY SECURITIES, INC.
February 23, 2006 - March 15, 2007
MAXIM GROUP LLC
May 25, 2005 - February 6, 2006
ANDREW GARRETT INC.
January 31, 2005 - April 20, 2005
S.W. BACH & COMPANY
January 29, 2004 - February 14, 2005
JOSEPH STEVENS & CO., INC.
August 11, 2003 - October 16, 2003
CONTINENTAL BROKER-DEALER CORP.
August 5, 2002 - September 3, 2002
CONTINENTAL BROKER-DEALER CORP.
June 13, 2001 - August 7, 2002
LADENBURG CAPITAL MANAGEMENT INC.
May 31, 2001 - July 11, 2001
CONTINENTAL BROKER-DEALER CORP.
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.
