Roger D. Jones
Professional summary
Roger Dale Jones is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Issaquah, Washington.
Roger is registered as a RR (Registered Representative) and started their career in finance in 1987. Roger has worked at 4 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) - BD
Click below to view Roger Dale Jones's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 19, 2000 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 71 Front St N, Issaquah, WA 98027-3237January 18, 1993 - July 10, 2000
CONOVER SECURITIES CORPORATION
June 21, 1991 - July 15, 1992
NYLIFE SECURITIES LLC
December 17, 1990 - May 29, 1991
CENTURY INVESTORS OF AMERICA, INC.
July 8, 1987 - December 18, 1990
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
(10/11/2005)
(1/7/2005)
(3/10/2006)
(5/18/2009)
(3/15/2019)
(3/2/2023)
(6/14/2021)
(3/3/2004)
(4/20/2023)
(6/24/2024)
(1/7/2005)
(5/30/2014)
(1/18/2022)
(1/18/2022)
(5/19/2000)
(1/5/2021)
Exams
FINRA
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
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