Harvey A. Weisenfeld
Professional summary
Harvey Alan Weisenfeld was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Harvey is a previously registered financial advisor and started their career in finance in 1984. Prior to being barred, Harvey had worked at 16 firms, which includes ALLSTATE FINANCIAL SERVICES LLC, NATIONWIDE SECURITIES LLC, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY, A. G. EDWARDS & SONS INC., VERAVEST INVESTMENTS INC., WALNUT STREET SECURITIES INC., GUARDIAN INVESTOR SERVICES LLC, VP DISTRIBUTORS LLC, G. R. PHELPS & CO. INC., SECURIAN FINANCIAL SERVICES INC., SG EQUITIES CORPORATION, TNE INVESTMENT SERVICES CORPORATION, CONTINENTAL INVESTOR SERVICES CORPORATION, MONARCH SECURITIES INC., WS GRIFFITH SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2006 - May 17, 2017
ALLSTATE FINANCIAL SERVICES, LLC
September 17, 2003 - December 5, 2006
NATIONWIDE SECURITIES, LLC
October 6, 1998 - July 1, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
June 10, 1998 - July 1, 2003
IDS LIFE INSURANCE COMPANY
June 10, 1998 - July 1, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
August 29, 1997 - March 27, 1998
A. G. EDWARDS & SONS, INC.
September 17, 1996 - August 19, 1997
VERAVEST INVESTMENTS, INC.
July 10, 1996 - August 26, 1996
WALNUT STREET SECURITIES, INC.
March 11, 1993 - July 9, 1996
GUARDIAN INVESTOR SERVICES LLC
October 14, 1992 - March 16, 1993
VP DISTRIBUTORS LLC
June 24, 1989 - November 28, 1990
G. R. PHELPS & CO., INC.
November 25, 1986 - July 23, 1988
SECURIAN FINANCIAL SERVICES, INC.
November 4, 1986 - April 20, 1989
SG EQUITIES CORPORATION
August 1, 1985 - October 20, 1986
TNE INVESTMENT SERVICES CORPORATION
June 27, 1985 - May 28, 1986
CONTINENTAL INVESTOR SERVICES CORPORATION
October 11, 1984 - July 11, 1988
MONARCH SECURITIES, INC.
April 18, 1984 - June 20, 1985
WS GRIFFITH 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.
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