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TS

Tracy A. Shannon

Some features on this profile are disabled
CRD#: 1872702
TS

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.

Tracy A Shannon, who also goes by Tracy Alton Shannon, was a registered financial professional .

Tracy is a previously registered financial professional and started their career in finance in 1988. Tracy had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tracy Alton Shannon

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 7, 2018 - September 26, 2025

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
Rolling Hills Estate, CA
Past

August 7, 2018 - March 2, 2026

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
ROLLING HILLS ESTATES, CA
Past

March 8, 2016 - July 30, 2018

INTEGRITY ALLIANCE, LLC.

RIA
CRD#: 139627
Beverly Hills, CA
Past

March 8, 2016 - July 30, 2018

INTEGRITY ALLIANCE, LLC.

BD
CRD#: 139627
Beverly Hills, CA
Past

July 24, 2008 - March 9, 2016

NEXT FINANCIAL GROUP, INC.

RIA
CRD#: 46214
San Deigo, CA
Past

July 24, 2008 - March 9, 2016

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
San Deigo, CA
Past

February 8, 2005 - July 23, 2008

MUTUAL SERVICE CORPORATION

RIA
CRD#: 4806
IRVINE, CA
Past

January 25, 2005 - July 23, 2008

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
IRVINE, CA
Past

May 12, 2003 - November 30, 2004

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
CORAL GABLES, FL
Past

May 12, 2003 - November 30, 2004

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

October 26, 1998 - May 20, 2003

LPL FINANCIAL LLC

RIA
CRD#: 6413
WESTMINSTER, CA
Past

October 9, 1998 - May 20, 2003

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

January 6, 1997 - October 1, 1998

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

August 12, 1993 - December 31, 1996

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

June 20, 1991 - July 26, 1993

LFG SECURITIES, INC.

BD
CRD#: 5374
Past

July 30, 1990 - May 3, 1991

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

September 12, 1988 - July 24, 1990

GAF FINANCIAL AND INSURANCE SERVICES

BD
CRD#: 14123
Past

August 30, 1988 - August 2, 1990

PAMCO SECURITIES AND INSURANCE SERVICES

BD
CRD#: 11028

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".
AF
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/27/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/22/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/2/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 8/25/1995
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/26/1988
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/19/1998
General Securities Principal Examination

Current Firm

AF
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts280
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.

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524

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