Arnold A. Eby
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.
Arnold Alvin Eby, who also goes by Arnie Eby, was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1973. Arnold had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2004 - February 23, 2016
MSI FINANCIAL SERVICES, INC.
March 17, 1998 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
March 17, 1998 - December 31, 2016
MSI FINANCIAL SERVICES, INC.
September 21, 1995 - September 13, 1996
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
November 7, 1994 - June 21, 1995
TITAN/VALUE EQUITIES GROUP, INC.
February 21, 1994 - November 8, 1994
JOHN HANCOCK DISTRIBUTORS LLC
January 13, 1987 - January 10, 1994
MSI FINANCIAL SERVICES, INC.
August 1, 1973 - January 10, 1994
METROPOLITAN LIFE INSURANCE COMPANY
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 1
Date: 7/24/1973
Registered 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.
