Marc A. Sieben
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.
Marc Alan Sieben was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1980. Marc had worked at 10 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2010 - August 7, 2014
MSI FINANCIAL SERVICES, INC.
September 14, 2010 - August 7, 2014
MSI FINANCIAL SERVICES, INC.
November 18, 2009 - September 8, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
November 11, 2005 - September 23, 2008
TD WEALTH MANAGEMENT SERVICES INC.
November 11, 2005 - September 23, 2008
TD WEALTH MANAGEMENT SERVICES INC.
April 5, 2004 - November 17, 2005
UBS FINANCIAL SERVICES INC.
March 29, 2004 - November 17, 2005
UBS FINANCIAL SERVICES INC.
September 24, 2002 - April 6, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 8, 2002 - April 6, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 31, 1993 - July 5, 2002
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
January 19, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
May 9, 1986 - December 23, 1986
BROADPOINT DESCAP
September 13, 1983 - May 22, 1986
E. F. HUTTON & COMPANY INC
December 18, 1980 - February 19, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 8
Date: 7/17/1989
General Securities Sales Supervisor Examination (Options Module & General Module)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.
