Annie A. Chen
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.
Annie Anru Chou Chen, who also goes by Annie A Chen, Annie An-ru Chou Chen, Annie Anru Chen, Annie Chen, Annie Anru Chou, was a registered financial professional .
Annie is a previously registered financial professional and started their career in finance in 2005. Annie had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2016 - August 9, 2016
MSI FINANCIAL SERVICES, INC.
March 7, 2016 - August 9, 2016
MSI FINANCIAL SERVICES, INC.
June 1, 2015 - March 11, 2016
J.P. MORGAN SECURITIES LLC
June 1, 2015 - March 11, 2016
J.P. MORGAN SECURITIES LLC
January 27, 2014 - April 7, 2014
HSBC SECURITIES (USA) INC.
January 24, 2014 - April 7, 2014
HSBC SECURITIES (USA) INC.
April 3, 2013 - January 27, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 12, 2013 - January 27, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 4, 2011 - January 30, 2013
SCOTTRADE, INC.
August 13, 2008 - October 24, 2008
NATIONAL PLANNING CORPORATION
June 19, 2008 - August 5, 2008
FIRST BROKERAGE AMERICA, L.L.C.
May 29, 2007 - March 6, 2008
CITIGROUP GLOBAL MARKETS INC.
September 21, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
February 4, 2005 - September 14, 2005
WORLD GROUP SECURITIES, 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.
