Alfonso C. Marino
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.
Alfonso Carl Marino, who also goes by Al Marino, was a registered financial professional .
Alfonso is a previously registered financial professional and started their career in finance in 1982. Alfonso had worked at 10 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2011 - November 9, 2012
ALLSTATE FINANCIAL SERVICES, LLC
December 12, 2007 - August 11, 2011
DAVID LERNER ASSOCIATES, INC.
January 22, 2007 - December 4, 2007
CAPITAL ONE INVESTMENT SERVICES LLC
January 1, 2005 - January 17, 2007
HSBC SECURITIES (USA) INC.
June 19, 2000 - January 1, 2005
HSBC BROKERAGE (USA) INC.
April 15, 1999 - June 5, 2000
EQUITY SERVICES, INC.
November 12, 1998 - March 1, 1999
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
January 15, 1998 - October 26, 1998
GUARDIAN INVESTOR SERVICES LLC
April 18, 1997 - January 1, 1998
1717 CAPITAL MANAGEMENT COMPANY
June 3, 1983 - June 27, 1997
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
October 5, 1982 - May 9, 1983
FORESTERS FINANCIAL SERVICES, 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
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.
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