John F. Schwab
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.
John Francis Schwab JR, who also goes by John Francis Schwab, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 12 firms and has passed the Series 63, Series 66, 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
Experience
September 26, 2014 - June 5, 2018
ALLSTATE FINANCIAL ADVISORS, LLC
September 26, 2014 - June 5, 2018
ALLSTATE FINANCIAL SERVICES, LLC
April 12, 2011 - November 13, 2013
RESOURCE HORIZONS GROUP LLC
March 11, 2011 - November 13, 2013
RESOURCE HORIZONS INVESTMENT ADVISORY, INC.
November 5, 2008 - March 18, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 29, 2008 - March 18, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 23, 2005 - August 7, 2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 23, 2005 - August 7, 2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 23, 2002 - October 26, 2004
FFP ADVISORY SERVICES INC
July 23, 2002 - October 26, 2004
FFP SECURITIES, INC.
February 19, 1999 - December 18, 2001
EQUITABLE ADVISORS, LLC
February 10, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 17, 1984 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
August 17, 1984 - January 25, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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 ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
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.
