David S. Rodgers
Professional summary
David S Rodgers was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, David had worked at 10 firms, which includes ALLSTATE FINANCIAL SERVICES LLC, INVESTACORP INC., KIRLIN SECURITIES INC., JOSEPHTHAL & CO. INC., JANNEY MONTGOMERY SCOTT LLC, CAL FED INVESTMENTS, PRUDENTIAL EQUITY GROUP LLC, LEHMAN BROTHERS INC., SANDHURST SECURITIES LTD., FORESTERS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2017 - May 24, 2018
ALLSTATE FINANCIAL SERVICES, LLC
January 27, 2014 - July 2, 2014
ALLSTATE FINANCIAL SERVICES, LLC
May 12, 1998 - April 28, 1999
INVESTACORP, INC.
June 2, 1997 - May 5, 1998
KIRLIN SECURITIES INC.
October 26, 1995 - June 9, 1997
JOSEPHTHAL & CO., INC.
September 29, 1994 - October 10, 1995
JANNEY MONTGOMERY SCOTT LLC
March 23, 1993 - September 26, 1994
CAL FED INVESTMENTS
July 16, 1990 - March 12, 1993
PRUDENTIAL EQUITY GROUP, LLC
July 26, 1988 - August 8, 1990
LEHMAN BROTHERS INC.
October 24, 1986 - November 25, 1988
JANNEY MONTGOMERY SCOTT LLC
January 17, 1986 - October 28, 1986
SANDHURST SECURITIES LTD.
June 6, 1985 - March 12, 1986
FORESTERS FINANCIAL SERVICES, 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 |
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