James R. Loosemore
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.
James Riley Loosemore, who also goes by James R Loosemore, Jim R Loosemore, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 11 firms and has passed the Series 63, 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
March 23, 2009 - July 12, 2012
ALLSTATE FINANCIAL SERVICES, LLC
March 27, 2006 - March 24, 2009
SUNSET FINANCIAL SERVICES, INC.
July 23, 2004 - March 2, 2006
ALLSTATE FINANCIAL SERVICES, LLC
November 3, 2003 - July 26, 2004
METROPOLITAN LIFE INSURANCE COMPANY
November 3, 2003 - July 27, 2004
MSI FINANCIAL SERVICES, INC.
December 10, 2001 - April 2, 2004
NEW ENGLAND SECURITIES
May 14, 2001 - October 3, 2001
IAC SECURITIES, INC.
June 3, 1998 - June 3, 1999
NATIONWIDE FUND DISTRIBUTORS LLC
July 18, 1997 - January 20, 1998
ONEAMERICA SECURITIES, INC.
July 18, 1997 - January 20, 1998
AMERICAN UNITED LIFE INSURANCE COMPANY
October 11, 1994 - December 11, 1996
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
May 22, 1985 - December 9, 1985
NYLIFE 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 |
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.
