Stephen M. Troy
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.
Stephen Michael Troy, who also goes by Steve Troy, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 10 firms and has passed the Series 63, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2000 - December 6, 2013
ALLSTATE FINANCIAL SERVICES, LLC
September 29, 1997 - November 20, 2000
OSAIC FS, INC.
January 26, 1996 - October 1, 1997
MML INVESTORS SERVICES, LLC
October 17, 1994 - December 9, 1995
MONY SECURITIES CORPORATION
October 5, 1992 - September 1, 1994
METROPOLITAN LIFE INSURANCE COMPANY
October 5, 1992 - September 1, 1994
MSI FINANCIAL SERVICES, INC.
March 17, 1989 - January 28, 1991
TOWER SQUARE SECURITIES, INC.
June 23, 1987 - October 8, 1988
NEW ENGLAND SECURITIES
July 3, 1986 - June 5, 1987
CONSECO FINANCIAL SERVICES, INC.
December 28, 1984 - July 3, 1986
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
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.
