Michael H. Laiks
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.
Michael Harris Laiks, who also goes by Michael H Laiks, Mike Laiks, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 15 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2011 - May 9, 2012
ALLSTATE FINANCIAL SERVICES, LLC
August 29, 2006 - September 15, 2009
SIGNATOR INVESTORS, INC.
March 21, 2006 - July 6, 2006
ATLAS SECURITIES, LLC
December 17, 2004 - April 27, 2005
METROPOLITAN LIFE INSURANCE COMPANY
December 17, 2004 - April 27, 2005
MSI FINANCIAL SERVICES, INC.
March 5, 2004 - October 14, 2004
FORESTERS EQUITY SERVICES, INC.
November 1, 2002 - August 13, 2003
PENSION PLANNERS SECURITIES, INC.
November 22, 2000 - October 29, 2002
FARMERS FINANCIAL SOLUTIONS, LLC
May 16, 2000 - November 1, 2000
ALLSTATE FINANCIAL SERVICES, LLC
May 3, 1999 - May 12, 2000
PARK AVENUE SECURITIES LLC
January 28, 1999 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
May 12, 1998 - January 21, 1999
QUEST CAPITAL STRATEGIES, INC.
July 25, 1996 - December 31, 1997
LOCUST STREET SECURITIES, INC.
September 15, 1995 - April 1, 1996
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
September 2, 1992 - August 16, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 2, 1992 - August 16, 1995
SIGNATOR INVESTORS, INC.
March 23, 1984 - August 7, 1991
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 |
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.
