Thomas N. Inks
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.
Thomas Norman Inks, who also goes by Thomas Inks, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 10 firms and has passed the Series 63 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
December 3, 2008 - August 31, 2009
ALLSTATE FINANCIAL SERVICES, LLC
November 6, 2003 - October 27, 2006
THE LEADERS GROUP, INC.
June 1, 2000 - September 30, 2003
HIMCO DISTRIBUTION SERVICES COMPANY
March 26, 2000 - May 18, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 1, 1999 - February 16, 2000
TALBOT FINANCIAL SERVICES, INC.
May 1, 1995 - June 1, 1999
SIGNATOR FINANCIAL SERVICES, INC.
February 24, 1994 - July 2, 1994
CUE FINANCIAL GROUP, INC.
May 16, 1991 - July 27, 1993
WOODBURY FINANCIAL SERVICES, INC.
April 1, 1991 - May 3, 1991
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 24, 1990 - April 1, 1991
PW SECURITIES, INC.
March 11, 1986 - June 30, 1986
TRANSAMERICA CAPITAL, 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.
