Thomas D. Formica
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.
Thomas Daniel Formica Jr, who also goes by Thomas D Formica, Thomas Daniel Formica Jr, Thomas Daniel Formica, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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
June 9, 2017 - April 6, 2018
ALLSTATE FINANCIAL SERVICES, LLC
October 31, 2016 - April 24, 2017
COUNTRY CAPITAL MANAGEMENT COMPANY
July 16, 2013 - February 23, 2015
ONEAMERICA SECURITIES, INC.
July 15, 2013 - February 23, 2015
ONEAMERICA SECURITIES, INC.
June 21, 2011 - May 20, 2013
WELLS FARGO CLEARING SERVICES, LLC
May 23, 2011 - May 20, 2013
WELLS FARGO CLEARING SERVICES, LLC
February 5, 2001 - June 18, 2001
U.S. BANCORP INVESTMENTS, INC.
August 2, 1995 - April 30, 1996
U.S. BANCORP INVESTMENTS, INC.
September 2, 1994 - August 9, 1995
WELLS FARGO CLEARING SERVICES, LLC
February 28, 1994 - August 31, 1994
CETERA WEALTH SERVICES, LLC
September 17, 1991 - March 1, 1994
CUNA BROKERAGE SERVICES, INC.
May 16, 1991 - September 6, 1991
AEGON USA SECURITIES INC.
February 3, 1989 - May 15, 1991
MARKETING ONE SECURITIES, INC.
October 24, 1986 - February 22, 1989
AMERIPRISE FINANCIAL SERVICES, 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.
