Michael F. Zimmerman
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.
Michael Fife Zimmerman, who also goes by Mike Zimmerman, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1990. Michael had worked at 10 firms and has passed the Series 63, SIE 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
Experience
October 14, 2004 - February 23, 2023
ALLSTATE FINANCIAL SERVICES, LLC
May 23, 2001 - October 14, 2004
MONY SECURITIES CORPORATION
January 2, 1998 - May 24, 2001
CADARET, GRANT & CO., INC.
August 10, 1995 - January 2, 1998
PINEBRIDGE SECURITIES LLC
November 4, 1994 - June 28, 1995
ADVANTAGE CAPITAL CORPORATION
May 31, 1994 - November 7, 1994
TOWER SQUARE SECURITIES, INC.
April 30, 1992 - June 7, 1993
MSI FINANCIAL SERVICES, INC.
April 6, 1992 - June 7, 1993
METROPOLITAN LIFE INSURANCE COMPANY
October 22, 1990 - November 29, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 22, 1990 - November 29, 1990
EQUITABLE ADVISORS, 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.
