Michael E. Wrobel
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.
Michael Edward Wrobel, who also goes by Michael E Wrobel, Michael Edward Wrobel Sr, Michael Wrobel, Mike Wrobel, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 7, 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
May 9, 2016 - December 3, 2018
ALLSTATE FINANCIAL SERVICES, LLC
June 25, 2008 - January 29, 2010
PRUCO SECURITIES, LLC.
June 28, 2006 - July 3, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
June 14, 2006 - July 3, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
December 19, 2003 - June 12, 2006
ALLSTATE FINANCIAL SERVICES, LLC
July 3, 2003 - January 5, 2004
NEBS FINANCIAL SERVICES, INC.
February 20, 2001 - July 9, 2003
CETERA WEALTH SERVICES, LLC
July 12, 2000 - July 9, 2003
CETERA WEALTH SERVICES, LLC
August 5, 1998 - July 13, 2000
CUNA BROKERAGE SERVICES, INC.
January 14, 1997 - August 19, 1998
MORGAN STANLEY DW INC.
October 3, 1996 - October 24, 1996
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
April 7, 1995 - October 10, 1996
WOODBURY FINANCIAL SERVICES, INC.
April 7, 1994 - April 18, 1995
LOCUST STREET SECURITIES, INC.
August 24, 1982 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 24, 1982 - August 12, 1994
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
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.
