Renee C. Sprinthall

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CRD#: 1541117

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.

Renee Clark Sprinthall, who also goes by Rick Springthall, Richard Clark Sprinthall Jr, Rick Sprinthall, Renee Clark Sprinthall, Richard Clark Sprinthall Jr., Richard Clark Sprinthall, was a registered financial professional .

Renee is a previously registered financial professional and started their career in finance in 1986. Renee had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

AVODAH HOME CARE POSITION: PCA - Personal Care Associate NATURE: Home care. INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 60 START DATE: 05/01/2025 ADDRESS: 9320 Two Notch Road, Suite D, Columbia SC 29223, United States DESCRIPTION: I provide personal care to an 81 year old female patient. I help her with household chores, assist her by taking her to medical and other appointments. I help her transfer and guide her as she walks.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 11, 2024 - September 30, 2025

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Lexington, SC

Past

March 6, 2024 - September 30, 2025

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LEXINGTON, SC

Past

January 19, 2018 - January 5, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Glastonbury, CT

Past

December 15, 2017 - January 5, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Glastonbury, CT

Past

July 31, 2012 - December 15, 2017

WADDELL & REED

RIA

CRD#: 866

HAMDEN, CT

Past

July 31, 2012 - December 15, 2017

WADDELL & REED

CRD#: 866

HAMDEN, CT

Past

November 1, 2010 - August 21, 2012

SIGNATOR INVESTORS, INC.

CRD#: 468

AGAWAM, MA

Past

July 25, 2006 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

HOLYOKE, MA

Past

July 25, 2006 - November 10, 2010

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

HOLYOKE, MA

Past

March 17, 2003 - July 24, 2006

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

April 15, 1999 - March 5, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

December 18, 1995 - April 15, 1999

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

July 31, 1993 - January 4, 1996

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 28, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 26, 1986 - June 5, 1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/9/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/21/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/1986

General Securities Representative Examination

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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.

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Firm Stability Insights

Renee C. Sprinthall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

WADDELL & REED

WADDELL & REED

SIGNATOR INVESTORS, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

MML INVESTORS SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

TUCKER ANTHONY INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/9/2012

Series 63

Date: 10/21/1986

SIE

Date: 10/1/2018

Series 7

Date: 9/20/1986

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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