Eugene M. Davis
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.
Eugene Moor Davis, who also goes by Eugene Davis, Moe Davis, was a registered financial professional .
Eugene is a previously registered financial professional and started their career in finance in 1984. Eugene had worked at 16 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2012 - March 19, 2014
ALLSTATE FINANCIAL SERVICES, LLC
March 4, 2011 - November 15, 2012
MIDAMERICA FINANCIAL SERVICES, INC.
May 20, 2010 - March 7, 2011
SIGNATOR FINANCIAL SERVICES, INC.
February 9, 2009 - December 1, 2009
INSPHERE SECURITIES, INC.
July 26, 2005 - October 4, 2007
JOHN HANCOCK DISTRIBUTORS LLC
March 19, 2001 - June 27, 2005
EQUITABLE DISTRIBUTORS, LLC
December 8, 1999 - April 16, 2001
PACIFIC SELECT DISTRIBUTORS, LLC
March 2, 1998 - December 2, 1999
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 17, 1997 - January 8, 1998
NATIONAL PLANNING CORPORATION
August 1, 1996 - January 13, 1998
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
December 14, 1995 - August 1, 1996
NATIONAL PLANNING CORPORATION
January 24, 1992 - October 16, 1995
WOODBURY FINANCIAL SERVICES, INC.
February 22, 1991 - January 2, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
April 11, 1990 - December 5, 1990
ROYAL HUTTON SECURITIES CORP.
September 8, 1986 - March 20, 1990
COREBRIDGE CAPITAL SERVICES, INC.
March 27, 1985 - July 1, 1986
TRANSAMERICA CAPITAL, LLC
January 25, 1984 - December 28, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
