Paul A. Ligor
Professional summary
Paul A Ligor JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Paul is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Paul had worked at 13 firms, which includes ALLSTATE FINANCIAL SERVICES LLC, INTEGRITY BROKERAGE LLC, MERRIMAC CORPORATE SECURITIES INC., ALLEN DOUGLAS SECURITIES INC., ELECTRONIC ACCESS DIRECT INC., UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER, AMUNI FINANCIAL INC., POLARIS FINANCIAL SERVICES INC., COMMONWEALTH FINANCIAL NETWORK, NEW ENGLAND SECURITIES, BOSTON MUTUAL SALES CORP., PRUCO SECURITIES LLC., SENTRY EQUITY SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2009 - June 30, 2010
ALLSTATE FINANCIAL SERVICES, LLC
January 16, 2004 - December 31, 2008
INTEGRITY BROKERAGE, LLC
January 2, 2004 - February 17, 2004
MERRIMAC CORPORATE SECURITIES, INC.
May 1, 2000 - April 3, 2001
ALLEN DOUGLAS SECURITIES, INC.
March 31, 1995 - December 31, 2003
ELECTRONIC ACCESS DIRECT, INC.
December 22, 1994 - January 13, 1995
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
November 7, 1994 - December 16, 1994
AMUNI FINANCIAL, INC.
February 23, 1993 - November 4, 1994
POLARIS FINANCIAL SERVICES, INC.
January 6, 1993 - March 4, 1993
COMMONWEALTH FINANCIAL NETWORK
March 25, 1992 - December 31, 1992
COMMONWEALTH FINANCIAL NETWORK
July 29, 1988 - May 17, 1990
NEW ENGLAND SECURITIES
October 7, 1986 - August 15, 1988
COMMONWEALTH FINANCIAL NETWORK
May 12, 1986 - September 12, 1986
BOSTON MUTUAL SALES CORP.
August 16, 1985 - April 15, 1986
PRUCO SECURITIES, LLC.
July 12, 1985 - August 8, 1985
COMMONWEALTH FINANCIAL NETWORK
April 8, 1983 - May 10, 1985
SENTRY EQUITY 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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