John F. Mccloskey
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.
John Francis Stephen Mccloskey, who also goes by John Francis Mccloskey, John Francis Slephen Mccloskey, John Mccloskey, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2009 - January 19, 2018
ALLSTATE FINANCIAL SERVICES, LLC
May 7, 2007 - November 29, 2007
INVEST FINANCIAL CORPORATION
April 30, 2007 - November 29, 2007
INVEST FINANCIAL CORPORATION
January 5, 2007 - May 9, 2007
PFIC ADVISORS, INC.
August 17, 2005 - April 30, 2007
PFIC SECURITIES CORPORATION
February 8, 2005 - August 17, 2005
FISERV INVESTOR SERVICES, INC.
October 5, 1995 - January 6, 2005
OSAIC FA, INC.
October 3, 1995 - January 6, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 3, 1995 - January 6, 2005
OSAIC FA, INC.
January 30, 1995 - March 13, 1995
SUNPOINT SECURITIES, INC.
February 18, 1993 - October 31, 1995
PRUDENTIAL EQUITY GROUP, LLC
July 23, 1986 - December 13, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
July 23, 1986 - February 23, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
