Mark A. 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.
Mark Alexander Davis was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 11 firms and has passed the Series 63, SIE, Series 7 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
October 22, 2013 - January 31, 2017
ALLSTATE FINANCIAL SERVICES, LLC
December 20, 2010 - October 3, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 1, 2002 - April 22, 2010
ICAP SECURITIES USA LLC
March 15, 2000 - January 25, 2002
ICAP SECURITIES USA LLC
September 28, 1998 - April 27, 2000
INTERCAPITAL GOVERNMENT SECURITIES INC.
September 22, 1998 - October 26, 2000
INTERCAPITAL INTERNATIONAL INC.
November 13, 1995 - November 27, 1996
LIBERTY BROKERS
March 25, 1992 - September 15, 1998
TULLETT PREBON FINANCIAL SERVICES LLC
September 16, 1991 - March 26, 1992
TRADITION SECURITIES AND DERIVATIVES LLC
November 2, 1989 - September 19, 1991
TRADITION BERISFORD (GOVERNMENT SECURITIES) INC.
July 25, 1987 - April 29, 1989
GARBAN CAPITAL MARKETS LLC
December 18, 1984 - January 28, 1985
PRUDENTIAL EQUITY GROUP, 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.
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