Mark S. Nielsen
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 Stanton Nielsen was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1985. Mark had worked at 9 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2013 - August 11, 2014
ALLSTATE FINANCIAL SERVICES, LLC
March 24, 2011 - November 14, 2012
BROKER DEALER FINANCIAL SERVICES CORP.
December 5, 2007 - January 3, 2011
LIBERTY LIFE SECURITIES LLC
October 7, 2004 - December 31, 2007
LIBERTY LIFE DISTRIBUTORS LLC
December 9, 2003 - September 14, 2004
SII INVESTMENTS, INC.
January 8, 2003 - November 12, 2003
SUNSET FINANCIAL SERVICES, INC.
June 3, 2002 - December 31, 2002
CARILLON INVESTMENTS, INC.
November 3, 1999 - April 5, 2002
LIBERTY LIFE SECURITIES LLC
July 21, 1998 - October 29, 1999
IFMG SECURITIES, INC.
November 19, 1985 - October 2, 1997
PRUCO SECURITIES, 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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