John G. Frey
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.
John Garrett Frey, who also goes by John G Frey, John Frey, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2012 - August 8, 2018
ALLSTATE FINANCIAL SERVICES, LLC
January 28, 2008 - October 12, 2012
JETTRADE, INC.
August 20, 2007 - December 23, 2008
BEACON CAPITAL MARKETS, LLC
February 22, 2007 - July 11, 2007
NEW ENGLAND SECURITIES
August 15, 2006 - March 12, 2007
PARK AVENUE SECURITIES LLC
July 20, 2006 - March 12, 2007
PARK AVENUE SECURITIES LLC
February 22, 2006 - May 24, 2006
JETTRADE, INC.
February 10, 2006 - February 15, 2006
JETTRADE, INC.
January 6, 2006 - February 22, 2006
PRUCO SECURITIES, LLC.
February 28, 2005 - January 3, 2006
JETTRADE, INC.
April 15, 2004 - February 7, 2005
HILLTOP SECURITIES INC.
September 3, 2003 - February 7, 2005
HILLTOP SECURITIES INC.
April 10, 2000 - September 8, 2003
JETTRADE, INC.
July 6, 1998 - December 21, 1998
PATRICK CAPITAL MARKETS, LLC
February 10, 1995 - July 31, 1996
J. D. SEIBERT & COMPANY, INC.
February 16, 1993 - January 13, 1995
BIRCHTREE FINANCIAL SERVICES LLC
October 25, 1991 - October 26, 1992
PATRICK CAPITAL MARKETS, LLC
December 21, 1989 - July 25, 1990
ROBERT THOMAS SECURITIES, INC
May 24, 1984 - January 1, 1990
QUEEN CITY SECURITIES CORPORATION
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.
