James C. Mckelvain
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.
James Carter Mckelvain, who also goes by James C Mckelvain, James Carter Mckelvain III, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 10 firms and has passed the Series 63 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
January 16, 2007 - July 10, 2007
ALLSTATE FINANCIAL SERVICES, LLC
October 25, 2005 - January 9, 2007
FORESTERS EQUITY SERVICES, INC.
February 23, 2004 - August 23, 2005
AMERITAS INVESTMENT COMPANY, LLC
January 1, 2004 - February 26, 2004
CETERA FINANCIAL SPECIALISTS LLC
June 18, 2002 - January 1, 2004
CAPITAL BROKERAGE CORPORATION
December 18, 2000 - March 6, 2002
WADDELL & REED
February 16, 2000 - January 10, 2001
WOODBURY FINANCIAL SERVICES, INC.
February 6, 1992 - March 24, 1994
METROPOLITAN LIFE INSURANCE COMPANY
February 6, 1992 - March 24, 1994
MSI FINANCIAL SERVICES, INC.
October 21, 1986 - January 21, 1992
PRUCO SECURITIES, LLC.
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.
