Shirley F. Anderson
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.
Shirley Fenimore Anderson, who also goes by Hap Anderson III, Hap Anderson, Shirley F Anderson III, Shirley Fenimore Anderson Iii, Iii Sherley Anderson Iii Iii, Shirley F Anderson Iii Iii, was a registered financial professional .
Shirley is a previously registered financial professional and started their career in finance in 1989. Shirley had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2017 - May 8, 2018
ALLSTATE FINANCIAL ADVISORS, LLC
June 20, 2017 - May 8, 2018
ALLSTATE FINANCIAL SERVICES, LLC
January 27, 2006 - May 9, 2017
WADDELL & REED
January 27, 2006 - May 9, 2017
WADDELL & REED
September 8, 2003 - January 24, 2006
WAMU INVESTMENTS, INC.
September 8, 2003 - January 24, 2006
WAMU INVESTMENTS, INC.
September 28, 1998 - May 27, 2003
UBS FINANCIAL SERVICES INC.
September 28, 1998 - May 27, 2003
UBS FINANCIAL SERVICES INC.
September 20, 1993 - October 5, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1993 - October 7, 1993
CITIGROUP GLOBAL MARKETS INC.
January 24, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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 ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| 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.
