Scott A. Muller
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.
Scott Albert Muller, CLU® was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1989. Scott had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2015 - March 7, 2023
ALLSTATE FINANCIAL SERVICES, LLC
April 4, 2014 - December 22, 2014
PACIFIC SELECT DISTRIBUTORS, LLC
May 21, 2013 - August 21, 2013
EQUITABLE ADVISORS, LLC
February 14, 2013 - May 23, 2013
EQUITABLE DISTRIBUTORS, LLC
December 31, 2000 - December 4, 2012
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 1, 1998 - December 31, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 1, 1998 - December 31, 2000
OSAIC FA, INC.
January 21, 1996 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 5, 1989 - December 31, 1995
NEW ENGLAND SECURITIES
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.
