Steven D. Stiles
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.
Steven Douglas Stiles, who also goes by Steve Stiles, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1984. Steven had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2010 - April 25, 2022
ALLSTATE FINANCIAL SERVICES, LLC
January 18, 2008 - May 5, 2010
FIRST ALLIED SECURITIES, INC.
May 25, 2006 - May 5, 2010
FIRST ALLIED SECURITIES, INC.
December 19, 2005 - May 17, 2006
TOUCHSTONE ADVISORS INC
October 9, 2001 - May 17, 2006
TOUCHSTONE SECURITIES, INC.
September 21, 2000 - May 18, 2001
TALBOT FINANCIAL SERVICES, INC.
March 29, 2000 - August 30, 2000
TOUCHSTONE SECURITIES, INC.
June 29, 1999 - March 29, 2000
ARM SECURITIES CORPORATION
May 1, 1991 - September 4, 1991
ESSEX NATIONAL SECURITIES, LLC
May 18, 1988 - October 4, 1990
METROPOLITAN LIFE INSURANCE COMPANY
May 18, 1988 - October 4, 1990
MSI FINANCIAL SERVICES, INC.
January 19, 1984 - February 24, 1988
FORESTERS FINANCIAL SERVICES, 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.
