Tracy A. Shannon
Professional summary
Tracy A Shannon, who also goes by Tracy Alton Shannon, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Rolling Hills Estates, California.
Tracy is registered as a RR (Registered Representative) and started their career in finance in 1988. Tracy has 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
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tracy A Shannon's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 7, 2018 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 734 Bart Earle Way, Ste 303, Rolling Hills Estates, CA 90274-3667August 7, 2018 - September 26, 2025
ALLSTATE FINANCIAL ADVISORS, LLC
March 8, 2016 - July 30, 2018
INTEGRITY ALLIANCE, LLC.
March 8, 2016 - July 30, 2018
INTEGRITY ALLIANCE, LLC.
July 24, 2008 - March 9, 2016
NEXT FINANCIAL GROUP, INC.
July 24, 2008 - March 9, 2016
NEXT FINANCIAL GROUP, INC.
February 8, 2005 - July 23, 2008
MUTUAL SERVICE CORPORATION
January 25, 2005 - July 23, 2008
MUTUAL SERVICE CORPORATION
May 12, 2003 - November 30, 2004
PRUCO SECURITIES, LLC.
May 12, 2003 - November 30, 2004
PRUCO SECURITIES, LLC.
October 26, 1998 - May 20, 2003
LPL FINANCIAL LLC
October 9, 1998 - May 20, 2003
LPL FINANCIAL LLC
January 6, 1997 - October 1, 1998
CETERA WEALTH SERVICES, LLC
August 12, 1993 - December 31, 1996
VOYA FINANCIAL ADVISORS, INC.
June 20, 1991 - July 26, 1993
LFG SECURITIES, INC.
July 30, 1990 - May 3, 1991
CETERA WEALTH SERVICES, LLC
September 12, 1988 - July 24, 1990
GAF FINANCIAL AND INSURANCE SERVICES
August 30, 1988 - August 2, 1990
PAMCO SECURITIES AND INSURANCE SERVICES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/12/2018)
(8/7/2018)
(11/6/2018)
(6/6/2023)
(10/29/2018)
(1/28/2019)
Exams
Series 62
Date: 8/25/1995
Corporate Securities Limited Representative ExaminationFINRA
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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