Richard C. Maves
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.
Richard Craig Maves, CFP®, who also goes by Rich Maves, Richard Craig Maves, Richard Maves, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 22 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
Start date: 1996
Experience
May 22, 2020 - December 31, 2020
ALLSTATE FINANCIAL SERVICES, LLC
October 24, 2016 - July 3, 2018
QUESTAR CAPITAL CORPORATION
November 14, 2014 - October 27, 2016
SECURITIES AMERICA, INC.
February 2, 2004 - November 14, 2014
SUNSET FINANCIAL SERVICES, INC.
July 7, 2003 - February 6, 2004
SIGNATOR INVESTORS, INC.
December 6, 2002 - June 10, 2003
FORESTERS EQUITY SERVICES, INC.
August 13, 2002 - November 12, 2002
METROPOLITAN LIFE INSURANCE COMPANY
August 13, 2002 - November 12, 2002
MSI FINANCIAL SERVICES, INC.
June 21, 2001 - August 14, 2002
UMB FINANCIAL SERVICES, INC.
April 4, 2000 - July 3, 2000
CUNA BROKERAGE SERVICES, INC.
January 4, 2000 - March 29, 2000
SUNSET FINANCIAL SERVICES, INC.
April 11, 1988 - December 8, 1999
NYLIFE SECURITIES LLC
April 20, 1987 - July 20, 1987
NYLIFE 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.
