Maureen A. Dolan
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.
Maureen Anne Dolan, who also goes by Maureen Anne Diana, was a registered financial professional .
Maureen is a previously registered financial professional and started their career in finance in 1979. Maureen had worked at 8 firms and has passed the Series 63, Series 6, Series 72 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2008 - April 24, 2013
MSI FINANCIAL SERVICES, INC.
June 15, 1998 - September 12, 2005
FAMILY MANAGEMENT SECURITIES, LLC
March 26, 1998 - June 3, 1998
NATHAN & LEWIS SECURITIES, INC.
April 17, 1989 - December 31, 1992
NATHAN & LEWIS SECURITIES, INC.
July 26, 1985 - November 3, 1987
DAHLKE & CO., INC.
April 1, 1983 - May 7, 1984
CANTOR, FITZGERALD MUNICIPAL BROKERS, INC.
July 13, 1982 - April 12, 1983
CANTOR FITZGERALD & CO.
September 19, 1979 - August 26, 1985
J.J. KENNY DRAKE, INC.
April 9, 1979 - July 2, 1979
W. H. MELL, 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
Series 72
Date: 5/17/1999
Government Securities 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.
