Donald E. Ogg
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.
Donald Eugene Ogg, CFP®, who also goes by Donald E Ogg, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1984. Donald had worked at 15 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 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
Start date: 1988
Experience
April 13, 2021 - May 5, 2022
ALLSTATE FINANCIAL SERVICES, LLC
December 7, 2017 - September 29, 2020
ALLSTATE FINANCIAL ADVISORS, LLC
July 17, 2017 - September 29, 2020
ALLSTATE FINANCIAL SERVICES, LLC
March 2, 2015 - December 31, 2016
VOYA FINANCIAL ADVISORS, INC.
January 21, 2015 - December 31, 2016
VOYA FINANCIAL ADVISORS, INC.
October 9, 2007 - January 20, 2015
MSI FINANCIAL SERVICES, INC.
August 24, 2007 - January 20, 2015
MSI FINANCIAL SERVICES, INC.
April 12, 2006 - August 31, 2007
NEW ENGLAND SECURITIES
March 6, 2006 - August 31, 2007
NEW ENGLAND SECURITIES
November 13, 2003 - March 9, 2006
WADDELL & REED
May 6, 2003 - March 9, 2006
WADDELL & REED
May 22, 2002 - May 6, 2003
MONY SECURITIES CORPORATION
January 29, 2002 - June 4, 2002
PRUCO SECURITIES, LLC.
October 24, 2000 - August 21, 2001
WELLS FARGO CLEARING SERVICES, LLC
September 22, 1999 - September 26, 2000
SECURIAN FINANCIAL SERVICES, INC.
April 23, 1998 - September 3, 1999
THE ADVISORS GROUP, INC.
December 5, 1997 - April 28, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 4, 1996 - January 14, 1997
METROPOLITAN LIFE INSURANCE COMPANY
November 4, 1996 - January 14, 1997
MSI FINANCIAL SERVICES, INC.
January 31, 1996 - February 14, 1996
WADDELL & REED
July 14, 1995 - February 27, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 14, 1995 - February 27, 1996
SIGNATOR INVESTORS, INC.
April 5, 1990 - July 17, 1995
THE ADVISORS GROUP, INC.
February 1, 1984 - April 12, 1990
LINCOLN FINANCIAL DISTRIBUTORS, 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.
