Dominic J. Tarullo
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.
Dominic John Tarullo was a registered financial professional .
Dominic is a previously registered financial professional and started their career in finance in 1988. Dominic had worked at 10 firms and has passed the Series 63, 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
October 23, 2012 - February 6, 2014
ALLSTATE FINANCIAL SERVICES, LLC
October 6, 2010 - September 18, 2012
W&S BROKERAGE SERVICES, INC.
November 9, 2007 - October 8, 2008
HIMCO DISTRIBUTION SERVICES COMPANY
January 1, 2004 - November 1, 2005
VOYA FINANCIAL ADVISORS, INC.
September 19, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
January 21, 2003 - March 14, 2003
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 1, 2001 - December 31, 2001
METLIFE INVESTORS DISTRIBUTION COMPANY
February 25, 2000 - July 1, 2001
WALNUT STREET SECURITIES, INC.
November 3, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 3, 1988 - January 14, 2000
PRUCO SECURITIES, 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
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