Joel A. Peterson
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.
Joel Alan Peterson was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 2005. Joel had worked at 7 firms and has passed the Series 66, 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
March 3, 2011 - February 4, 2016
MSI FINANCIAL SERVICES, INC.
March 3, 2011 - February 4, 2016
MSI FINANCIAL SERVICES, INC.
September 30, 2008 - January 31, 2011
TD AMERITRADE, INC.
September 30, 2008 - January 31, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 26, 2008 - January 31, 2011
TD AMERITRADE, INC.
January 23, 2008 - September 3, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
January 23, 2008 - September 3, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
October 23, 2006 - January 25, 2008
CETERA WEALTH SERVICES, LLC
October 19, 2006 - January 25, 2008
CETERA WEALTH SERVICES, LLC
March 2, 2005 - November 22, 2005
IDS LIFE INSURANCE COMPANY
March 2, 2005 - November 22, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
January 25, 2005 - November 22, 2005
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.
