Susan R. Griffin
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.
Susan Rebecca Griffin, who also goes by Susan Rebecca Britt, Susan Rebecca Brittdavis, Susan Rebecca Davis, Susan Rebecca Britt Davis, Susan Rebecca Davisbritt, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1990. Susan had worked at 5 firms and has passed the 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 9, 2004 - September 15, 2017
ALLSTATE FINANCIAL SERVICES, LLC
June 27, 1995 - January 12, 2004
PRUCO SECURITIES, LLC.
January 30, 1995 - June 19, 1995
SECURITIES MANAGEMENT & RESEARCH, INC.
October 30, 1992 - December 19, 1994
CETERA WEALTH SERVICES, LLC
August 11, 1992 - March 22, 1993
PRUCO SECURITIES, LLC.
March 9, 1990 - August 6, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 9, 1990 - August 6, 1990
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
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.
