Susan N. Peck

ALLSTATE FINANCIAL ADVISORS

Lincoln, NE 68508-1380

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CRD#: 1699793

Professional summary

Susan Nancy Peck, who also goes by Susie Peck, is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Lincoln, Nebraska and ALLSTATE FINANCIAL SERVICES, LLC located in Lincoln, Nebraska.

Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Susan has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 14, Series 10, Series 9, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susie Peck

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Nancy Peck's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 16, 2024 - Present

ALLSTATE FINANCIAL ADVISORS, LLC

Office #1: 151 N 8th St Ste 450, Lincoln, NE 68508-1380

RIA

CRD#: 109524

Lincoln, NE

Current

April 4, 2001 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 151 N 8th St Ste 450, Lincoln, NE 68508-1380

CRD#: 18272

Lincoln, NE

Past

June 14, 2000 - January 2, 2001

JWGENESIS SECURITIES, INC.

CRD#: 33832

BOCA RATON, FL

Past

September 14, 1999 - March 28, 2001

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

January 4, 1999 - January 2, 2001

JWGENESIS FINANCIAL GROUP, INC

CRD#: 38166

BOCA RATON, FL

Past

December 3, 1990 - January 4, 1999

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Past

July 19, 1988 - November 30, 1990

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

DENVER, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(4/4/2001)

IAR

Colorado
(5/16/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/13/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/6/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 12/22/2000

Compliance Officer Examination

Principal/Supervisory Exam

Series 10

Date: 1/6/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/25/1999

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 6/28/1999

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/24/1988

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

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.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Susan N. Peck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Nancy Peck's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

JWGENESIS SECURITIES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

JWGENESIS FINANCIAL GROUP, INC

CHATFIELD DEAN & CO., INC.

THE STUART-JAMES COMPANY, INCORPORATED

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/2024

Series 63

Date: 4/6/1992

SIE

Date: 10/1/2018

Series 7

Date: 7/16/1988

Series 14

Date: 12/22/2000

Series 10

Date: 1/6/2000

Series 9

Date: 10/25/1999

Series 4

Date: 6/28/1999

Series 24

Date: 10/24/1988

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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