Kerry Stein
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.
Kerry Stein, who also goes by Kerry D Stein, Kerry David Stein, was a registered financial professional .
Kerry is a previously registered financial professional and started their career in finance in 1986. Kerry had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2023 - February 28, 2023
ALLSTATE FINANCIAL SERVICES, LLC
March 18, 2021 - May 26, 2021
NYLIFE SECURITIES LLC
September 8, 2011 - April 10, 2019
LLOYDS SECURITIES
January 5, 2010 - June 24, 2011
BTIG, LLC
January 23, 2008 - January 6, 2010
JONESTRADING
March 20, 2003 - January 15, 2008
MORGAN JOSEPH TRIARTISAN LLC
February 1, 2002 - March 12, 2002
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
January 30, 2001 - February 1, 2002
COMMERZ MARKETS LLC
January 5, 1995 - November 29, 2000
UBS FINANCIAL SERVICES INC.
April 6, 1992 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
April 17, 1990 - March 14, 1992
YOUNG CAPITAL GROUP (LIMITED PARTNERSHIP)
March 12, 1990 - May 2, 1990
MABON, NUGENT & CO.
September 24, 1986 - March 13, 1990
DREXEL BURNHAM LAMBERT 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.
