Thomas J. Fraser
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 Jonathan Duncan Fraser, who also goes by Thomas J Fraser, Thomas John Fraser, Thomas Fraser, Tom Fraser, was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 1983. Thomas had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
April 5, 2011 - June 18, 2012
ALLSTATE FINANCIAL SERVICES, LLC
May 30, 2008 - November 3, 2010
FIRST ALLIED SECURITIES, INC.
May 9, 2007 - May 30, 2008
FFP SECURITIES, INC.
May 4, 2007 - November 15, 2010
FIRST ALLIED ADVISORY SERVICES, INC.
January 24, 2005 - February 16, 2007
ATLAS SECURITIES, LLC
April 7, 2004 - January 31, 2005
CUE FINANCIAL GROUP, INC.
March 17, 1997 - April 27, 2004
NYLIFE SECURITIES LLC
April 24, 1995 - January 15, 1997
1717 CAPITAL MANAGEMENT COMPANY
March 9, 1983 - April 4, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 9, 1983 - April 4, 1995
EQUITABLE ADVISORS, 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.
