William R. Horton
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.
William Raymond Horton was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 7 firms and has passed the Series 65, Series 63, Series 3 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
April 4, 2008 - January 10, 2013
MSI FINANCIAL SERVICES, INC.
April 1, 2008 - January 10, 2013
MSI FINANCIAL SERVICES, INC.
November 17, 2006 - April 2, 2008
EQUITABLE ADVISORS, LLC
November 11, 2005 - April 2, 2008
EQUITABLE ADVISORS, LLC
February 4, 2003 - October 6, 2005
BNY CAPITAL MARKETS INC.
September 20, 1999 - December 9, 2002
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
June 7, 1999 - July 27, 1999
DEUTSCHE BANK SECURITIES INC.
July 29, 1997 - June 7, 1999
DB ALEX. BROWN LLC
June 30, 1995 - July 11, 1997
DEUTSCHE BANK SECURITIES INC.
November 18, 1986 - February 27, 1995
GOLDMAN SACHS & CO. LLC
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.
