William M. Sprunt
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.
William Mark Sprunt, who also goes by Mark Sprunt, W Mark Sprunt, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 24 and Series 53 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2001 - July 6, 2026
ALLSTATE FINANCIAL SERVICES, LLC
April 9, 2001 - May 31, 2001
OLD SLIP CAPITAL MANAGEMENT, INC.
January 22, 1997 - December 8, 1998
BA INVESTMENT SERVICES, INC.
February 3, 1995 - January 13, 1997
SECURIAN FINANCIAL SERVICES, INC.
July 7, 1993 - February 21, 1995
SENTRA SECURITIES CORPORATION
July 30, 1992 - June 17, 1993
ROBERT SCOTT SECURITIES, INC.
April 23, 1992 - March 7, 1995
M.C. FINANCIAL CORPORATION
December 6, 1991 - April 16, 1992
ACUMENT SECURITIES, INC.
July 13, 1990 - December 20, 1991
WILSHIRE DISCOUNT SECURITIES
March 1, 1989 - January 22, 1990
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
November 25, 1985 - June 21, 1988
VOYA FINANCIAL ADVISORS, 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
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationCurrent 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.
