David P. Heath
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.
David Paul Heath was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, 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
May 21, 2018 - July 26, 2019
ALLSTATE FINANCIAL ADVISORS, LLC
May 17, 2018 - July 26, 2019
ALLSTATE FINANCIAL SERVICES, LLC
December 3, 2012 - December 31, 2017
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
November 29, 2012 - December 31, 2017
CAPITAL INVESTMENT GROUP, INC.
August 30, 2012 - November 28, 2012
TRIAD ADVISORS LLC
December 22, 1999 - November 28, 2012
TRIAD ADVISORS LLC
October 28, 1998 - January 13, 2000
MONY SECURITIES CORPORATION
December 20, 1994 - November 4, 1998
FSC SECURITIES CORPORATION
June 3, 1988 - January 1, 1995
AMERICAN CAPITAL CORPORATION
June 11, 1987 - June 14, 1988
OSAIC FS, INC.
March 4, 1987 - June 16, 1987
SECURIAN FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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 ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
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.
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