Abba J. Blum
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.
Abba Joel Blum was a registered financial professional .
Abba is a previously registered financial professional and started their career in finance in 1990. Abba had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 62, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2014 - May 15, 2015
ALLSTATE FINANCIAL SERVICES, LLC
January 29, 2014 - May 6, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
July 14, 2010 - May 6, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
August 4, 1995 - November 3, 1997
SPECTRUM SECURITIES, INC.
September 26, 1994 - June 14, 1995
COLUMBUS FINANCIAL, INC.
December 2, 1993 - August 18, 1994
TRADEPORTAL SECURITIES, INC.
January 6, 1993 - November 16, 1993
WILLIAM LAWRENCE SECURITIES, INC.
August 31, 1990 - December 31, 1992
BROKERS INVESTMENT CORPORATION
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 62
Date: 11/13/1992
Corporate Securities Limited 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.
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