Gennaro F. Maffei
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.
Gennaro Frank Maffei, who also goes by Frank Gennaro Maffei, Jerry Maffei, was a registered financial advisor .
Gennaro is a previously registered financial advisor and started their career in finance in 1980. Gennaro had worked at 17 firms and has passed the Series 65, Series 63 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 24, 2010 - July 12, 2012
MSI FINANCIAL SERVICES, INC.
April 20, 2009 - July 12, 2012
MSI FINANCIAL SERVICES, INC.
July 21, 2005 - June 1, 2007
GUNNALLEN FINANCIAL, INC
February 7, 2005 - May 16, 2005
CAPITAL GROWTH FINANCIAL, LLC
February 5, 2003 - October 22, 2004
PAN-AMERICAN FINANCIAL ADVISERS
March 21, 2002 - December 31, 2002
PAN-AMERICAN FINANCIAL ADVISERS
December 4, 1998 - July 27, 2001
BISHOP, ROSEN & CO., INC.
September 30, 1998 - December 4, 1998
BARRON CHASE SECURITIES, INC.
February 3, 1998 - August 6, 1998
SHARPE CAPITAL, INC.
March 19, 1997 - February 3, 1998
CONTINENTAL BROKER-DEALER CORP.
August 22, 1995 - May 14, 1996
CONTINENTAL BROKER-DEALER CORP.
February 4, 1988 - March 9, 1988
LEVCO SECURITIES CORP.
January 13, 1986 - November 16, 1987
ALEXANDER MICHAELS, INC.
March 20, 1985 - December 24, 1985
WEAVER JOHNSON & COMPANY,INC.
December 28, 1984 - May 16, 1985
BROADCHILD SECURITIES CORP.
May 23, 1984 - January 22, 1985
WALTER CAPITAL CORPORATION
February 28, 1984 - May 29, 1984
VANDERBILT SECURITIES, INC.
December 1, 1983 - February 2, 1984
SOUTHEAST SECURITIES OF FLORIDA, INC.
October 13, 1983 - November 17, 1983
WALTER CAPITAL CORPORATION
January 30, 1981 - October 13, 1983
BROOKS, HAMBURGER, SATNICK, INC.
August 19, 1980 - February 20, 1981
FIRST JERSEY SECURITIES, 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
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.
