Derl H. Knarr
Professional summary
Derl Harry Knarr was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Derl is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Derl had worked at 5 firms, which includes ALLSTATE FINANCIAL SERVICES LLC, SECURITIES AMERICA INC., WALNUT STREET SECURITIES INC., THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2009 - February 1, 2013
ALLSTATE FINANCIAL SERVICES, LLC
November 19, 2002 - June 25, 2009
ALLSTATE FINANCIAL SERVICES, LLC
February 26, 1998 - November 20, 2002
SECURITIES AMERICA, INC.
May 31, 1996 - March 11, 1998
WALNUT STREET SECURITIES, INC.
June 23, 1983 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 23, 1983 - October 13, 1995
PRUCO SECURITIES, 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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