Stanley N. Martin
Professional summary
Stanley Newcomb Martin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stanley is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Stanley had worked at 8 firms, which includes ALLSTATE FINANCIAL SERVICES LLC, AMERIPRISE ADVISOR SERVICES INC., NATIONWIDE SECURITIES LLC, THE ADVISORS GROUP INC., STRATEGIC ASSETS INC., BUTTONWOOD SECURITIES INC., WS GRIFFITH SECURITIES INC., OSAIC FS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2005 - August 16, 2019
ALLSTATE FINANCIAL SERVICES, LLC
April 28, 2003 - June 28, 2005
AMERIPRISE ADVISOR SERVICES, INC.
May 24, 1999 - April 30, 2003
ALLSTATE FINANCIAL SERVICES, LLC
July 8, 1997 - June 10, 1999
NATIONWIDE SECURITIES, LLC
May 20, 1996 - July 11, 1997
THE ADVISORS GROUP, INC.
March 13, 1996 - July 22, 1996
STRATEGIC ASSETS INC.
May 26, 1989 - October 17, 1995
BUTTONWOOD SECURITIES, INC.
August 26, 1986 - April 7, 1988
WS GRIFFITH SECURITIES, INC.
April 25, 1986 - August 8, 1986
OSAIC FS, 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 |
Red Flags
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