Michael P. Aldrich
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.
Michael Paul Aldrich, who also goes by Mike Aldrich, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3, 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
November 9, 2006 - November 2, 2020
ALLSTATE FINANCIAL SERVICES, LLC
June 29, 2005 - November 6, 2006
WADDELL & REED
June 24, 2005 - November 6, 2006
WADDELL & REED
February 11, 2005 - June 20, 2005
NYLIFE SECURITIES LLC
February 25, 2004 - October 25, 2004
U.S. BANCORP INVESTMENTS, INC.
September 3, 1999 - May 17, 2002
ALLSTATE FINANCIAL SERVICES, LLC
February 5, 1999 - August 18, 1999
WALNUT STREET SECURITIES, INC.
December 8, 1997 - December 18, 1998
THE ADVISORS GROUP, INC.
August 13, 1997 - December 9, 1997
VERAVEST INVESTMENTS, INC.
December 16, 1989 - August 12, 1997
LPL FINANCIAL LLC
December 13, 1988 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
January 21, 1987 - January 2, 1989
LEHMAN BROTHERS INC.
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.
