James Victor
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.
James Victor was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 16 firms and has passed the Series 63, SIE, Series 7, Series 6 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
October 31, 2013 - February 10, 2017
ALLSTATE FINANCIAL SERVICES, LLC
June 9, 2011 - November 28, 2011
WOODBURY FINANCIAL SERVICES, INC.
May 29, 2009 - May 7, 2010
ONEAMERICA SECURITIES, INC.
August 20, 2007 - December 31, 2008
G. A. REPPLE & COMPANY
January 17, 2006 - August 21, 2007
QUEST CAPITAL STRATEGIES, INC.
February 26, 2004 - December 31, 2005
THE O.N. EQUITY SALES COMPANY
January 17, 2003 - December 31, 2003
THE O.N. EQUITY SALES COMPANY
April 14, 2000 - December 31, 2002
CINCINNATI ANALYSTS, INC.
January 4, 1999 - April 20, 2000
THE INVESTMENT CENTER, INC.
September 16, 1998 - January 4, 1999
CPA ADVISORS NETWORK, INC.
June 1, 1998 - September 10, 1998
PRUDENTIAL EQUITY GROUP, LLC
April 11, 1996 - December 16, 1997
HORNOR, TOWNSEND & KENT, LLC
August 14, 1995 - April 10, 1996
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
February 11, 1993 - May 16, 1995
METROPOLITAN LIFE INSURANCE COMPANY
February 11, 1993 - May 16, 1995
MSI FINANCIAL SERVICES, INC.
December 3, 1990 - June 28, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
December 3, 1990 - June 28, 1991
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.
