Thomas J. Sant
Professional summary
Thomas Joseph Sant, who also goes by Thomas J Sant, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Lindenhurst, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1988. Thomas has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Joseph Sant's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 23, 2009 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 7 W Hoffman Ave, Lindenhurst, NY 11757-4011February 18, 1999 - February 2, 2001
FISERV INVESTOR SERVICES, INC.
August 27, 1997 - November 30, 1998
METROPOLITAN LIFE INSURANCE COMPANY
August 27, 1997 - November 30, 1998
MSI FINANCIAL SERVICES, INC.
March 18, 1996 - July 23, 1997
ROBERT W. BAIRD & CO. INCORPORATED
March 18, 1996 - July 23, 1997
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 12, 1988 - December 22, 1995
METROPOLITAN LIFE INSURANCE COMPANY
February 12, 1988 - December 22, 1995
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/7/2021)
(2/9/2009)
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
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.
