Robert K. Stephens
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.
Robert Kenneth Stephens was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 8 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2000 - July 17, 2015
ALLSTATE FINANCIAL SERVICES, LLC
July 22, 1993 - August 8, 2000
INVESTORS CAPITAL CORP.
June 29, 1993 - July 21, 1993
INVESTORS CAPITAL CORP.
September 17, 1992 - June 25, 1993
FFP SECURITIES, INC.
February 25, 1992 - September 16, 1992
COMPULIFE INVESTOR SERVICES, INC.
June 20, 1990 - May 20, 1991
METROPOLITAN LIFE INSURANCE COMPANY
June 20, 1990 - May 20, 1991
MSI FINANCIAL SERVICES, INC.
March 3, 1989 - May 14, 1990
FSC SECURITIES CORPORATION
November 23, 1988 - March 8, 1989
COMPULIFE INVESTOR SERVICES, INC.
October 3, 1988 - November 29, 1988
DOMINICK & DICKERMAN LLC
August 19, 1987 - October 3, 1988
DOMIK CORP.
August 7, 1985 - August 25, 1987
BSI HOLDINGS, INC.
February 14, 1985 - August 8, 1985
MORGAN STANLEY DW INC.
December 21, 1984 - March 19, 1985
SIGNATOR INVESTORS, INC.
July 31, 1984 - December 17, 1984
PRUCO SECURITIES, LLC.
October 21, 1983 - March 12, 1984
BLINDER, ROBINSON & CO., INC.
September 10, 1983 - November 21, 1983
FIRST JERSEY SECURITIES, INC.
November 17, 1981 - April 25, 1983
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
Series 8
Date: 11/3/1987
General Securities Sales Supervisor Examination (Options Module & General Module)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.
