Philip L. Grasso
Professional summary
Philip Leonard Grasso JR. was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Philip is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Philip had worked at 11 firms, which includes ALLSTATE FINANCIAL SERVICES LLC, 1717 CAPITAL MANAGEMENT COMPANY, AMERICAN CAPITAL CORPORATION, CANADA LIFE OF AMERICA FINANCIAL SERVICES INC., INDEPENDENT FINANCIAL CONSULTANTS, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC., TOWER SQUARE SECURITIES INC., ADVANTAGE CAPITAL CORPORATION, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2010 - May 30, 2014
ALLSTATE FINANCIAL SERVICES, LLC
May 24, 1995 - April 15, 2002
1717 CAPITAL MANAGEMENT COMPANY
May 7, 1993 - May 12, 1995
AMERICAN CAPITAL CORPORATION
July 8, 1992 - February 12, 1997
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
June 18, 1991 - May 28, 1992
INDEPENDENT FINANCIAL CONSULTANTS
September 19, 1990 - April 19, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 19, 1990 - April 19, 1991
PRUCO SECURITIES, LLC.
February 17, 1989 - September 10, 1990
TOWER SQUARE SECURITIES, INC.
August 29, 1988 - February 24, 1989
ADVANTAGE CAPITAL CORPORATION
March 10, 1988 - May 11, 1988
METROPOLITAN LIFE INSURANCE COMPANY
March 10, 1988 - May 16, 1988
MSI FINANCIAL SERVICES, INC.
September 2, 1986 - August 26, 1987
PRUCO SECURITIES, 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 |
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