John B. Dew
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.
John Brooks Dew was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1967. John had worked at 11 firms and has passed the Series 65, Series 63, Series 15, Series 5, PC, Series 1, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2007 - January 14, 2008
MSI FINANCIAL SERVICES, INC.
September 26, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
September 26, 2006 - January 14, 2008
MSI FINANCIAL SERVICES, INC.
February 11, 2002 - May 13, 2003
WEBSTER INVESTMENT SERVICES, INC.
November 13, 1991 - March 2, 2000
PRUDENTIAL EQUITY GROUP, LLC
November 22, 1977 - December 5, 1991
LEHMAN BROTHERS INC.
May 13, 1977 - November 22, 1977
SHEARSON HAYDEN STONE INC.
December 16, 1976 - May 23, 1977
LOEB, RHOADES & CO. INC.
December 2, 1974 - December 12, 1976
MF GLOBAL INC.
November 13, 1970 - November 12, 1971
BOETTCHER & COMPANY, INC.
September 11, 1970 - March 17, 1971
HAYDEN STONE INC.
May 23, 1967 - January 14, 1971
HAYDEN STONE 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 15
Date: 5/18/1995
Foreign Currency Options ExaminationSeries 5
Date: 5/2/1995
Interest Rate Options ExaminationPC
Date: 11/5/1979
AMEX Put and Call ExamSeries 1
Date: 11/20/1974
Registered Representative ExaminationSeries 12
Date: 5/8/1980
NYSE Branch Manager 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.
