Patrick F. Mccabe
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.
Patrick Frank Mccabe was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1982. Patrick had worked at 9 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
January 17, 2014 - September 16, 2019
ALLSTATE FINANCIAL SERVICES, LLC
May 10, 2010 - January 13, 2014
EAGLE STRATEGIES LLC
February 10, 2009 - January 13, 2014
NYLIFE SECURITIES LLC
October 6, 2003 - January 8, 2009
ALLSTATE FINANCIAL SERVICES, LLC
March 5, 2002 - October 21, 2003
OSAIC FS, INC.
January 22, 2001 - March 6, 2002
THE O.N. EQUITY SALES COMPANY
September 10, 1998 - January 10, 2001
VISUN SECURITIES CORPORATION
May 14, 1998 - August 31, 1998
NYLIFE SECURITIES LLC
November 6, 1989 - January 2, 1991
NEW ENGLAND SECURITIES
August 16, 1989 - May 1, 1998
VISUN SECURITIES CORPORATION
January 20, 1982 - August 23, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 20, 1982 - August 23, 1989
EQUITABLE ADVISORS, 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
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
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