Clayton D. Farrell
Professional summary
Clayton Dale Farrell was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Clayton is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Clayton had worked at 8 firms, which includes ALLSTATE FINANCIAL SERVICES LLC, MML INVESTORS SERVICES LLC, 1717 CAPITAL MANAGEMENT COMPANY, MONY SECURITIES CORPORATION, WOODBURY FINANCIAL SERVICES INC., CUNA BROKERAGE SERVICES INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2004 - July 8, 2004
ALLSTATE FINANCIAL SERVICES, LLC
July 26, 2002 - September 18, 2003
MML INVESTORS SERVICES, LLC
March 22, 2001 - March 11, 2002
1717 CAPITAL MANAGEMENT COMPANY
June 20, 1996 - March 13, 2001
MONY SECURITIES CORPORATION
June 29, 1994 - June 30, 1996
WOODBURY FINANCIAL SERVICES, INC.
January 14, 1993 - June 29, 1994
CUNA BROKERAGE SERVICES, INC.
April 24, 1992 - January 19, 1993
WOODBURY FINANCIAL SERVICES, INC.
July 10, 1989 - July 17, 1991
METROPOLITAN LIFE INSURANCE COMPANY
July 10, 1989 - July 17, 1991
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
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
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