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Thomas E. Brand

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CRD#: 1924829
TB

Professional summary

Thomas Earl Brand was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Thomas had worked at 5 firms, which includes ALLSTATE FINANCIAL SERVICES LLC, FIRST ALLIED SECURITIES INC., AUTO CLUB FUNDS INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Brand

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

May 17, 2006 - April 30, 2008

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
CLARKSTON, MI
Past

August 17, 2005 - May 2, 2006

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SAN DIEGO, CA
Past

September 21, 1994 - November 8, 2004

AUTO CLUB FUNDS, INC.

BD
CRD#: 10580
DEARBORN, MI
Past

July 30, 1993 - April 22, 1994

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

July 30, 1993 - April 22, 1994

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

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
RR
Series 63
Date: 9/10/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 7/29/1993
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AF
ALLSTATE FINANCIAL SERVICES, LLC
ALLSTATE FINANCIAL SERVICES, LLC | LSA SECURITIES, INC. | LAUGHLIN GROUP ADVISORS, INC. | ALLSTATE FINANCIAL SERVICES, LLC OF DELAWARE | ALLSTATE FINANCIAL SERVICES, LLC D/B/A LSA SECURITIES

CRD#: 18272 / SEC#: , 8-36365

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
151 N 8th Street, Suite 450, Lincoln, NE 68508-1380
Mailing Address
Po Box 83271, Lincoln, NE 68501-3271
Phone number
(877) 232-2142
Established
Delaware since 11/01/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALLSTATE INSURANCE COMPANYOWNER
BOUDREAU, JOHN DOUGLASCHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE6357880
DELANEY, SCOTT SULLIVANPRESIDENT AND CHIEF EXECUTIVE OFFICER2978681
LANSPA, PAUL DONALDCHIEF OPERATING OFFICER6449159
MUELLER, DAVID JOHNGENERAL COUNSEL AND SECRETARY7807045
NELSON, MARY KRISCHAIRMAN OF THE BOARD2464654
SWEENEY, MICHAEL DANIELAML OFFICER2026113
WHITCOMB, MICHAEL JAMESFINOP7495756

Disclosures

Regulatory Event4
Arbitration1

Red Flags

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Company Information

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

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