Gregory J. Macklin
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.
Gregory James Macklin, who also goes by Greg J Macklin, Gregory J Macklin, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1984. Gregory had worked at 12 firms and has passed the Series 3, Series 7, Series 53 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
Experience
April 10, 2006 - June 25, 2007
ALLSTATE FINANCIAL SERVICES, LLC
April 5, 2002 - December 16, 2005
MM ASCEND LIFE INVESTOR SERVICES, LLC
July 27, 2001 - April 16, 2002
REGIS SECURITIES CORPORATION
October 6, 1999 - July 6, 2001
CAPITAL SECURITIES OF AMERICA, INC.
October 29, 1997 - October 1, 1999
QUANTUM CAPITAL CORPORATION
April 10, 1995 - October 28, 1997
THE HAMILTON-SHEA GROUP, INC.
January 20, 1992 - April 5, 1995
OMNI FINANCIAL SECURITIES, INC.
January 25, 1991 - January 17, 1992
OMNI CAPITAL MARKETS, INCORPORATED
September 17, 1990 - January 11, 1991
CAMELOT INVESTMENT CORP.
June 21, 1988 - September 13, 1990
CORNA AND CO., INC.
February 18, 1987 - July 18, 1988
PRUDENTIAL EQUITY GROUP, LLC
October 11, 1985 - February 23, 1987
J.C. BRADFORD & CO.
April 18, 1984 - September 30, 1985
CORNA AND CO., 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.
