Gregg M. Dubroc

ALLSTATE FINANCIAL ADVISORS

Baton Rouge, LA 70806-7914

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CRD#: 1805512

Professional summary

Gregg Mark Dubroc, who also goes by Gregg Mark Dubroc, Gregg Dubroc, is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Baton Rouge, Louisiana and ALLSTATE FINANCIAL SERVICES, LLC located in Baton Rouge, Louisiana.

Gregg is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Gregg has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gregg Mark Dubroc | Gregg Dubroc

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 Gregg Mark Dubroc'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

July 17, 2024 - Present

ALLSTATE FINANCIAL ADVISORS, LLC

Office #1: 8676 Goodwood Blvd Ste 303, Baton Rouge, LA 70806-7914

RIA

CRD#: 109524

Baton Rouge, LA

Current

July 11, 2024 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 8676 Goodwood Blvd Ste 303, Baton Rouge, LA 70806-7914

CRD#: 18272

Baton Rouge, LA

Past

February 6, 2020 - August 12, 2021

HANCOCK WHITNEY INVESTMENT SERVICES INC.

RIA

CRD#: 40637

BATON ROUGE, LA

Past

February 6, 2020 - August 12, 2021

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637

BATON ROUGE, LA

Past

June 5, 2012 - September 24, 2019

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

METAIRIE, LA

Past

December 23, 2010 - September 24, 2019

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

METAIRIE, LA

Past

April 21, 2006 - December 23, 2010

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

December 14, 2005 - April 6, 2006

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637

NEW ORLEANS, LA

Past

March 31, 2004 - December 15, 2005

OSAIC FA, INC.

RIA

CRD#: 3978

BATON ROUGE, LA

Past

November 8, 2002 - December 15, 2005

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

November 8, 2002 - December 15, 2005

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

August 21, 2002 - November 8, 2002

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

BATON ROUGE, LA

Past

August 17, 1988 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

August 17, 1988 - November 8, 2002

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

April 19, 1988 - July 26, 1988

IDS LIFE INSURANCE COMPANY

CRD#: 6321

Past

April 19, 1988 - July 26, 1988

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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

Louisiana
(7/17/2024)

IAR

Louisiana
(7/17/2024)

Mississippi
(6/3/2025)

Texas
(4/2/2025)

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: 7/7/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/3/1988

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: 4/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 2/28/2011

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/1/1999

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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Advisor Monitoring

Firm Stability Insights

Gregg M. Dubroc

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregg Mark Dubroc's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

HANCOCK WHITNEY INVESTMENT SERVICES INC.

HANCOCK WHITNEY INVESTMENT SERVICES INC.

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

THE LEADERS GROUP, INC.

HANCOCK WHITNEY INVESTMENT SERVICES INC.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/7/1999

Series 63

Date: 3/3/1988

SIE

Date: 10/1/2018

Series 7

Date: 4/16/1988

Series 51

Date: 2/28/2011

Series 24

Date: 9/1/1999

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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