Michael J. Marshall

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CRD#: 1257449

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.

Michael Joseph Marshall was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 13 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 19, 2021 - February 10, 2022

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Prescott Valley, AZ

Past

January 14, 2021 - February 10, 2022

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

PRESCOTT VALLEY, AZ

Past

February 22, 2010 - January 8, 2021

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

Cornville, AZ

Past

February 19, 2010 - January 8, 2021

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

PASADENA, CA

Past

May 29, 2007 - March 10, 2010

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

THOUSAND OAKS, CA

Past

May 29, 2007 - March 10, 2010

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

THOUSAND OAKS, CA

Past

August 10, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

SANTA BARBARA, CA

Past

June 16, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

SANTA BARBARA, CA

Past

July 5, 2005 - June 26, 2006

SECU BROKERAGE SERVICES

CRD#: 19899

THOUSAND OAKS, CA

Past

March 31, 2005 - June 30, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

July 13, 1999 - May 21, 2003

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

March 7, 1998 - April 2, 1999

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

SAN DIEGO, CA

Past

July 22, 1997 - February 20, 1998

FIMCO SECURITIES GROUP, INC.

CRD#: 30343

PORT WASHINGTON, WI

Past

January 14, 1997 - July 11, 1997

ZAHORIK COMPANY, INC.

CRD#: 8580

PASADENA, CA

Past

February 22, 1995 - October 1, 1996

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

September 26, 1986 - December 31, 1993

INVESTORS BROKERAGE SERVICES, INC.

CRD#: 4257

ELGIN, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/9/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/12/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/25/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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.

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Advisor Monitoring

Firm Stability Insights

Michael J. Marshall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

SECU BROKERAGE SERVICES

SUNAMERICA SECURITIES, INC.

WAMU INVESTMENTS, INC.

CUSO FINANCIAL SERVICES, L.P.

FIMCO SECURITIES GROUP, INC.

ZAHORIK COMPANY, INC.

SENTRA SECURITIES CORPORATION

INVESTORS BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/9/2006

SIE

Date: 10/1/2018

Series 7

Date: 10/12/2000

Series 6

Date: 9/25/1986

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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