Thomas D. Bubel
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 Dean Bubel, who also goes by Thomas Dean Bubel Sr, Tom Bubel, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2007 - August 28, 2015
ALLSTATE FINANCIAL SERVICES, LLC
January 2, 2001 - December 31, 2006
VISION BROKERAGE SERVICES, LLC
February 1, 2000 - December 31, 2000
FISERV INVESTOR SERVICES, INC.
June 24, 1993 - February 23, 2000
MARION BASS SECURITIES CORPORATION
April 14, 1992 - July 6, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 14, 1992 - July 6, 1993
OSAIC FA, INC.
September 17, 1991 - April 14, 1992
NATIONWIDE SECURITIES, LLC
May 8, 1989 - February 8, 1991
BACK BAY CAPITAL, INC.
June 26, 1987 - February 20, 1988
J.P. MORGAN SECURITIES LLC
March 22, 1983 - July 2, 1987
E. F. HUTTON & COMPANY 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
