Roy D. Hottel
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.
Roy Daniel Hottel, who also goes by Roy Daniel Hottel, Roy Hottel, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1987. Roy had worked at 21 firms and has passed the Series 65, 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
August 28, 2020 - December 17, 2020
ALLSTATE FINANCIAL SERVICES, LLC
November 13, 2019 - March 31, 2020
STATE FARM VP MANAGEMENT CORP.
February 27, 2018 - June 6, 2019
CUNA BROKERAGE SERVICES, INC.
February 27, 2018 - June 6, 2019
CUNA BROKERAGE SERVICES, INC.
June 7, 2017 - February 14, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
June 7, 2017 - February 14, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
May 25, 2016 - June 1, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
May 25, 2016 - June 1, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
November 10, 2015 - December 18, 2015
CETERA INVESTMENT ADVISERS LLC
November 6, 2015 - December 18, 2015
CETERA INVESTMENT SERVICES LLC
January 28, 2015 - August 10, 2015
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - August 10, 2015
CAPITAL ONE INVESTING, LLC
September 12, 2013 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
September 12, 2013 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
May 18, 2012 - August 30, 2013
CETERA INVESTMENT SERVICES LLC
May 14, 2012 - August 30, 2013
CETERA INVESTMENT SERVICES LLC
July 29, 2011 - February 23, 2012
OSAIC INSTITUTIONS, INC.
July 29, 2011 - February 23, 2012
OSAIC INSTITUTIONS, INC.
May 19, 2006 - July 20, 2011
PNC WEALTH MANAGEMENT LLC
May 19, 2006 - July 20, 2011
PNC WEALTH MANAGEMENT LLC
April 17, 2006 - May 25, 2006
METROPOLITAN LIFE INSURANCE COMPANY
April 17, 2006 - May 25, 2006
MSI FINANCIAL SERVICES, INC.
May 12, 2004 - August 16, 2005
BB&T INVESTMENT SERVICES, INC.
May 12, 2004 - August 16, 2005
BB&T INVESTMENT SERVICES, INC.
August 29, 2003 - April 27, 2004
WELLS FARGO CLEARING SERVICES, LLC
August 29, 2003 - April 27, 2004
WELLS FARGO CLEARING SERVICES, LLC
May 2, 1996 - August 20, 2003
CHEVY CHASE FINANCIAL SERVICES
April 4, 1996 - August 20, 2003
CHEVY CHASE FINANCIAL SERVICES
June 12, 1995 - November 6, 1995
MARKETING ONE SECURITIES, INC.
May 25, 1994 - May 26, 1995
FIRST UNION BROKERAGE SERVICES, INC.
February 16, 1990 - May 19, 1994
CHEVY CHASE FINANCIAL SERVICES
May 19, 1989 - May 10, 1990
CAPITAL BROKERAGE CORPORATION
November 27, 1987 - March 30, 1989
THE ADVISORS GROUP, 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
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.
