Mitchell Carbonie
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.
Mitchell Carbonie, who also goes by Mitch Carbonie, was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1986. Mitchell had worked at 10 firms and has passed the Series 63, SIE, Series 7 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
November 1, 2004 - March 9, 2021
ALLSTATE FINANCIAL SERVICES, LLC
August 3, 1998 - April 3, 2000
IFMG SECURITIES, INC.
July 9, 1998 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
June 2, 1998 - September 7, 2004
SOUTHTRUST SECURITIES, LLC
September 27, 1996 - June 1, 1998
BBVA COMPASS INVESTMENT SOLUTIONS, INC
March 30, 1994 - October 8, 1996
THE O.N. EQUITY SALES COMPANY
March 4, 1993 - February 25, 1994
OSAIC WEALTH, INC.
March 13, 1987 - February 12, 1993
MONY SECURITIES CORPORATION
January 20, 1986 - November 25, 1986
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 20, 1986 - December 3, 1986
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.
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