Michael D. Kotys
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 Dominick Kotys, who also goes by Mike D Kotys, Mike Kotys, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 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
October 6, 2009 - September 30, 2020
ALLSTATE FINANCIAL SERVICES, LLC
April 4, 2007 - November 5, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
April 4, 2007 - November 5, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
September 27, 2001 - April 4, 2007
PRUCO SECURITIES, LLC.
August 18, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 18, 1989 - April 4, 2007
PRUCO SECURITIES, LLC.
December 22, 1987 - August 14, 1989
AMI SECURITIES, INC.
December 6, 1986 - March 25, 1987
SOUTHMARK FINANCIAL SERVICES, INC.
June 2, 1983 - June 14, 1986
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.
