Marc S. Piven
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 Scott Piven was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1975. Marc had worked at 23 firms and has passed the Series 66, Series 63, Series 55, Series 3, Series 41, Series 7, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2011 - March 23, 2012
MSI FINANCIAL SERVICES, INC.
May 29, 2009 - September 30, 2009
BRIGHT TRADING, LLC
December 1, 2005 - June 1, 2009
ALLSTATE FINANCIAL SERVICES, LLC
May 20, 2005 - November 30, 2005
NATIONAL PLANNING CORPORATION
April 16, 2004 - May 17, 2005
GRANITE ASSOCIATES, INC
October 29, 2002 - January 22, 2003
LION'S GROUP TRADING LLC
August 8, 2002 - August 30, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
July 23, 2002 - August 30, 2002
IDS LIFE INSURANCE COMPANY
July 23, 2002 - August 30, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
September 7, 2001 - July 8, 2002
CARLIN EQUITIES, LLC
July 18, 2001 - October 5, 2001
WORLDCO, L.L.C.
September 25, 2000 - June 19, 2001
CARLIN EQUITIES, LLC
April 7, 2000 - September 25, 2000
CARLIN EQUITIES, LLC
September 2, 1998 - January 22, 1999
SCHONFELD SECURITIES, LLC
July 29, 1994 - September 8, 1998
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
July 1, 1992 - July 27, 1994
BREAN MURRAY & CO., INC.
April 11, 1991 - July 7, 1992
MARSH, BLOCK & CO. INC.
October 5, 1990 - April 8, 1991
STUART, COLEMAN & CO., INC.
June 25, 1990 - June 25, 1990
MARSH, BLOCK & CO. INC.
June 25, 1990 - October 8, 1990
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 9, 1990 - May 22, 1990
SACCO SECURITIES CORPORATION
May 17, 1989 - October 5, 1989
SACCO SECURITIES CORPORATION
January 3, 1989 - May 19, 1989
GLOBAL CAPITAL SECURITIES, INC.
November 2, 1988 - October 5, 1989
SACCO SECURITIES CORPORATION
April 15, 1987 - October 31, 1988
EMANUEL AND COMPANY
October 12, 1978 - March 18, 1987
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
February 3, 1978 - November 10, 1978
BREAN MURRAY & CO., INC.
January 27, 1978 - February 3, 1978
BREAN MURRAY & CO., INC.
January 28, 1976 - March 14, 1984
S. B. CANTOR & CO., INC.
November 20, 1975 - February 29, 1976
SWIFT, HENKE & CO., 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 55
Date: 10/3/2000
Limited Representative-Equity Trader ExamSeries 41
Date: 7/19/1979
NYSE Allied Member ExaminationSeries 8
Date: 10/9/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 11/13/1978
Registered Principal 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.
