Roy G. Eudy
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.
Roy George Eudy, who also goes by Roy George Eudy Sr, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1974. Roy had worked at 12 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2003 - December 31, 2011
ALLSTATE FINANCIAL SERVICES, LLC
September 18, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
September 18, 2000 - November 18, 2003
VALIC FINANCIAL ADVISORS, INC.
April 11, 1999 - December 3, 1999
ONEAMERICA SECURITIES, INC.
April 11, 1999 - December 3, 1999
AMERICAN UNITED LIFE INSURANCE COMPANY
December 10, 1996 - May 16, 1997
ESSEX NATIONAL SECURITIES, LLC
September 18, 1996 - January 14, 1997
WOODBURY FINANCIAL SERVICES, INC.
August 18, 1992 - December 31, 1995
WOODBURY FINANCIAL SERVICES, INC.
October 4, 1990 - February 28, 1992
FIRST STRATA CORPORATION
March 25, 1988 - April 5, 1989
B.C. CHRISTOPHER SECURITIES CO.
July 19, 1982 - December 19, 1986
NEW ENGLAND SECURITIES
February 14, 1974 - March 9, 1982
OSAIC FA, INC.
February 14, 1974 - November 4, 1983
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
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
Series 1
Date: 2/9/1974
Registered Representative ExaminationCurrent 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.
