Michael D. Sweeney

ALLSTATE FINANCIAL SERVICES

Lincoln, NE 68508-1380

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CRD#: 2026113

Professional summary

Michael Daniel Sweeney is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Lincoln, Nebraska.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1990. Michael has worked at 4 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7, Series 6, Series 9, Series 10, Series 8, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Michael Daniel Sweeney's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 24, 2001 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 151 N 8th St Ste 450, Lincoln, NE 68508-1380

CRD#: 18272

Lincoln, NE

Past

October 3, 1995 - October 31, 2000

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

June 26, 1995 - September 25, 1995

FPS BROKER SERVICES, INC.

CRD#: 25065

KING OF PRUSSIA, PA

Past

February 5, 1992 - June 20, 1995

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

February 15, 1990 - April 9, 1990

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Pennsylvania
(1/24/2001)

Exams

State Security Law Exam

Series 63

Series 24

Date: 6/30/1993

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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Michael D. Sweeney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Daniel Sweeney's CRS (Customer Relationship Summary).

Certified licenses

Experience

HORNOR, TOWNSEND & KENT, LLC

FPS BROKER SERVICES, INC.

HORNOR, TOWNSEND & KENT, LLC

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/4/1994

Series 65

Date: 10/12/1993

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/8/1993

Series 6

Date: 2/14/1990

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 5/20/1996

Series 4

Date: 5/20/1996

Series 24

Date: 6/30/1993

FINRA

Current Firm

ALLSTATE FINANCIAL SERVICES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALLSTATE FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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