Kris M. Thoresen
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.
Kris Michael Thoresen was a registered financial advisor .
Kris is a previously registered financial advisor and started their career in finance in 1989. Kris had worked at 9 firms and has passed the Series 63, Series 7 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
August 27, 2003 - April 6, 2011
ALLSTATE FINANCIAL SERVICES, LLC
January 25, 2001 - September 8, 2003
OSAIC FA, INC.
January 25, 2001 - September 8, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 25, 2001 - September 8, 2003
OSAIC FA, INC.
July 14, 1997 - January 9, 2001
TRUIST INVESTMENT SERVICES, INC.
June 21, 1995 - June 9, 1997
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 24, 1994 - March 30, 1995
CONSECO EQUITY SALES, INC.
April 3, 1990 - January 4, 1991
NEW ENGLAND SECURITIES
June 22, 1989 - March 6, 1990
METROPOLITAN LIFE INSURANCE COMPANY
June 22, 1989 - March 6, 1990
MSI FINANCIAL SERVICES, INC.
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.
