Clark A. Anderson
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.
Clark Allen Anderson was a registered financial professional .
Clark is a previously registered financial professional and started their career in finance in 1981. Clark had worked at 14 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2016 - August 30, 2019
ALLSTATE FINANCIAL SERVICES, LLC
March 22, 2016 - September 6, 2016
FORESTERS EQUITY SERVICES, INC.
November 4, 2011 - January 19, 2016
ALLSTATE FINANCIAL SERVICES, LLC
June 23, 2009 - November 14, 2011
VALIC FINANCIAL ADVISORS, INC.
September 16, 2008 - April 23, 2009
COREBRIDGE CAPITAL SERVICES, INC.
June 5, 1997 - September 17, 2008
SECURITY DISTRIBUTORS
April 11, 1995 - September 10, 1996
BNY MELLON SECURITIES CORPORATION
August 20, 1993 - February 13, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 20, 1993 - February 13, 1996
OSAIC FA, INC.
April 15, 1992 - June 21, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 15, 1992 - June 21, 1993
PRUCO SECURITIES, LLC.
November 23, 1990 - December 2, 1991
ANNIN SECURITIES, INC.
July 28, 1987 - December 5, 1989
INTEGRITY LIFE INSURANCE COMPANY
September 5, 1984 - January 21, 1986
NATIONAL SECURITIES & RESEARCH CORPORATION
November 20, 1981 - September 10, 1984
METLIFE INVESTORS DISTRIBUTION 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
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
