Brian D. Fisher
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.
Brian David Fisher, who also goes by Brian D Fisher, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1983. Brian had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 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
June 19, 2009 - December 14, 2022
ALLSTATE FINANCIAL SERVICES, LLC
November 5, 2007 - May 26, 2009
FAIRPORT CAPITAL, INC.
August 13, 2001 - May 31, 2005
BNY INVESTMENT CENTER INC.
June 5, 1997 - September 13, 2000
ESSEX NATIONAL SECURITIES, LLC
June 5, 1997 - July 31, 2001
LASALLE FINANCIAL SERVICES, INC.
March 4, 1997 - June 9, 1997
FIS SECURITIES, INC.
November 11, 1992 - May 30, 1997
FLEET ENTERPRISES, INC.
October 15, 1991 - October 28, 1992
CHATFIELD DEAN & CO., INC.
July 24, 1989 - January 10, 1990
GLOBAL CAPITAL SECURITIES, INC.
April 11, 1989 - July 25, 1989
U.S. ADVISORS, INC.
March 7, 1989 - April 19, 1989
GLOBAL CAPITAL SECURITIES, INC.
April 4, 1988 - March 10, 1989
INVESTORS CENTER, INC.
June 19, 1985 - May 12, 1987
THOMSON MCKINNON SECURITIES INC.
September 21, 1983 - June 28, 1985
FIRST JERSEY SECURITIES, 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.
