Steven Wooten
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.
Steven Wooten, who also goes by Steve L Wooten, Steve Wooten, Steven Lee Wooten, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1987. Steven had worked at 9 firms and has passed the Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2010 - December 31, 2021
ALLSTATE FINANCIAL SERVICES, LLC
March 4, 2009 - October 30, 2009
VOYA FINANCIAL ADVISORS, INC.
July 23, 2008 - March 11, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
July 6, 2004 - June 16, 2008
ALLSTATE FINANCIAL SERVICES, LLC
October 3, 2000 - July 1, 2004
STATE FARM VP MANAGEMENT CORP.
December 21, 1992 - July 17, 2000
1717 CAPITAL MANAGEMENT COMPANY
September 30, 1991 - December 17, 1992
SECURIAN FINANCIAL SERVICES, INC.
April 18, 1990 - October 3, 1991
SUNSET FINANCIAL SERVICES, INC.
March 23, 1990 - April 24, 1990
OPPENHEIMER & CO. INC.
October 20, 1987 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
