Kennister U. Daley
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.
Kennister Ulesley Daley, who also goes by Ken Daley, was a registered financial professional .
Kennister is a previously registered financial professional and started their career in finance in 1988. Kennister had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2016 - August 6, 2026
ALLSTATE FINANCIAL SERVICES, LLC
May 19, 2014 - March 29, 2016
DAWSON JAMES SECURITIES, INC.
January 26, 2006 - May 19, 2014
NFSG CORPORATION
August 8, 2002 - May 19, 2014
NEWBRIDGE SECURITIES CORPORATION
January 2, 2001 - August 14, 2002
NATIONAL SECURITIES CORPORATION
November 20, 2000 - January 9, 2001
STERLING FINANCIAL INVESTMENT GROUP, INC.
October 6, 1997 - November 20, 2000
JOSEPH CHARLES & ASSOC., INC.
January 4, 1993 - October 30, 1998
BARBER & BRONSON INCORPORATED
December 24, 1990 - January 15, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 1990 - January 2, 1991
JOSEPHTHAL & CO., INC.
October 6, 1988 - March 22, 1990
KIMBRIDGE & CO., INC.
February 23, 1988 - October 20, 1988
THE DAVID-MAXWELL COMPANY, 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
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.
