James M. Flewellen
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 Martin Flewellen, who also goes by James Martin Flewellen, Marty Flewellen, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 7 firms and has passed the Series 63, Series 7TO, 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
February 22, 2017 - August 10, 2021
ALLSTATE FINANCIAL SERVICES, LLC
August 18, 1999 - July 21, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
April 9, 1999 - July 14, 1999
HIMCO DISTRIBUTION SERVICES COMPANY
January 26, 1999 - March 23, 1999
TRANSAMERICA SECURITIES SALES CORPORATION
April 25, 1988 - August 1, 1995
TRANSAMERICA SECURITIES SALES CORPORATION
April 25, 1988 - March 23, 1999
TRANSAMERICA FINANCIAL ADVISORS, INC.
March 14, 1987 - March 17, 1988
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 14, 1987 - March 18, 1988
ROBERT W. BAIRD & CO. INCORPORATED
November 21, 1986 - March 17, 1987
MUTUAL SERVICE CORPORATION
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
Series 7TO
Date: 3/17/2024
General Securities Representative ExaminationCurrent 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.
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