Eric E. Fiedler
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.
Eric Ernest Fiedler was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1990. Eric had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2021 - October 1, 2021
ALLSTATE FINANCIAL SERVICES, LLC
April 26, 2017 - January 22, 2021
EQUITABLE DISTRIBUTORS, LLC
March 25, 2015 - July 1, 2016
FORESIDE FUND SERVICES, LLC
February 14, 2013 - March 23, 2015
ORCHARD SECURITIES, LLC
June 28, 2010 - July 19, 2012
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
March 9, 2010 - June 28, 2010
TRANSAMERICA CAPITAL, LLC
June 29, 2009 - February 23, 2010
EQUITABLE ADVISORS, LLC
October 6, 2000 - May 13, 2009
EQUITABLE DISTRIBUTORS, LLC
February 12, 1990 - October 10, 2000
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, 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.
