Ronald J. Bommarito
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.
Ronald James Bommarito, who also goes by Ron Bommarito, Ronald J Bommarito, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1985. Ronald had worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2013 - September 5, 2014
ALLSTATE FINANCIAL SERVICES, LLC
January 26, 1999 - November 2, 2000
USALLIANZ SECURITIES, INC.
May 20, 1993 - December 31, 1998
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 17, 1992 - May 18, 1993
CAPITAL SECURITIES INVESTMENT CORPORATION
September 8, 1989 - January 16, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 8, 1989 - January 16, 1992
EQUITABLE ADVISORS, LLC
May 24, 1985 - May 15, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 24, 1985 - January 16, 1992
EQUITABLE ADVISORS, 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
