William B. Franklin
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.
William Bradley Franklin, who also goes by Bill Franklin, William Franklin, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 8 firms and has passed the Series 63, 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
August 13, 2009 - December 19, 2012
ALLSTATE FINANCIAL SERVICES, LLC
July 1, 2005 - May 15, 2009
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
February 15, 1996 - June 13, 2005
PRUCO SECURITIES, LLC.
September 10, 1993 - October 25, 1995
NEW ENGLAND SECURITIES
November 5, 1990 - September 20, 1993
INVESTACORP, INC.
April 14, 1988 - October 9, 1990
THE ADVISORS GROUP, INC.
November 23, 1985 - April 21, 1988
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
June 22, 1983 - November 21, 1985
CARDELL & ASSOCIATES, INCORPORATED
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.
