Deborah A. Sherry-cruze
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.
Deborah Ann Sherry-cruze, who also goes by Deborah Ann Sherry-cruze, Deborah Ann Sherrycruze, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1983. Deborah had worked at 16 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2018 - August 24, 2018
ALLSTATE FINANCIAL SERVICES, LLC
February 24, 2016 - April 26, 2016
SII INVESTMENTS, INC.
September 4, 2015 - January 28, 2016
SUMMIT BROKERAGE SERVICES, INC.
October 10, 2013 - September 29, 2015
J.P. TURNER & COMPANY, L.L.C.
March 30, 2012 - July 19, 2012
OPPENHEIMER & CO. INC.
November 20, 2008 - April 19, 2010
FORESTERS EQUITY SERVICES, INC.
June 10, 2005 - October 10, 2006
PFS INVESTMENTS INC.
March 3, 2003 - December 31, 2004
PFS INVESTMENTS INC.
December 7, 2000 - April 24, 2001
QUICK & REILLY, INC.
December 7, 1998 - April 11, 2000
PRUDENTIAL EQUITY GROUP, LLC
February 1, 1997 - November 18, 1998
MORGAN KEEGAN & COMPANY, LLC
January 23, 1996 - January 22, 1997
CITIGROUP GLOBAL MARKETS INC.
August 15, 1991 - November 27, 1995
INVESTACORP, INC.
January 18, 1990 - October 22, 1990
PACE SECURITIES, INC.
April 12, 1988 - October 22, 1990
OPPENHEIMER & CO. INC.
April 1, 1988 - April 12, 1988
FAHNESTOCK INTERNATIONAL INC.
September 30, 1987 - April 1, 1988
OPPENHEIMER & CO. INC.
November 28, 1986 - October 20, 1987
UBS FINANCIAL SERVICES INC.
June 4, 1986 - October 22, 1990
OPPENHEIMER & CO. INC.
November 23, 1983 - June 6, 1986
DIS-COM 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
Series 8
Date: 8/21/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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.
