Karen R. Sebastian
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.
Karen Rose Sebastian was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 2003. Karen had worked at 6 firms and has passed the Series 65, Series 66, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2012 - April 1, 2016
MSI FINANCIAL SERVICES, INC.
December 12, 2012 - September 6, 2013
WALNUT STREET SECURITIES, INC.
December 12, 2012 - September 6, 2013
TOWER SQUARE SECURITIES, INC.
December 12, 2012 - January 2, 2015
NEW ENGLAND SECURITIES
December 12, 2012 - April 1, 2016
MSI FINANCIAL SERVICES, INC.
January 25, 2012 - March 22, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
October 6, 2011 - March 22, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
March 2, 2007 - December 31, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
March 1, 2007 - October 16, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
July 10, 2003 - February 22, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
June 17, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
June 17, 2003 - February 22, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
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.
