Aparna Kerwin
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.
Aparna Kerwin, who also goes by Aparna Gupta, Aparna Merrill, was a registered financial professional .
Aparna is a previously registered financial professional and started their career in finance in 2006. Aparna had worked at 11 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
May 16, 2012 - November 7, 2014
MSI FINANCIAL SERVICES, INC.
May 9, 2012 - September 5, 2013
WALNUT STREET SECURITIES, INC.
May 9, 2012 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
May 9, 2012 - November 7, 2014
NEW ENGLAND SECURITIES
May 9, 2012 - November 7, 2014
MSI FINANCIAL SERVICES, INC.
March 30, 2012 - April 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 29, 2012 - April 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 2010 - November 9, 2011
MORGAN STANLEY
February 25, 2010 - November 9, 2011
MORGAN STANLEY
October 5, 2009 - February 4, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - February 4, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
September 18, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
August 14, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
April 29, 2008 - August 8, 2008
TD AMERITRADE, INC.
April 29, 2008 - August 8, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 9, 2008 - August 8, 2008
TD AMERITRADE, INC.
November 1, 2006 - March 11, 2008
CHEVY CHASE FINANCIAL SERVICES
November 1, 2006 - March 11, 2008
CHEVY CHASE FINANCIAL SERVICES
September 25, 2006 - October 24, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
August 30, 2006 - October 24, 2006
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.
