Mike H. Sirmons
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.
Mike Hill Sirmons, who also goes by Mike Sirmons, was a registered financial professional .
Mike is a previously registered financial professional and started their career in finance in 1991. Mike had worked at 8 firms and has passed the Series 63 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
October 14, 2008 - June 27, 2012
ALLSTATE FINANCIAL SERVICES, LLC
February 16, 2007 - October 14, 2008
VALIC FINANCIAL ADVISORS, INC.
April 14, 2005 - February 20, 2007
HORACE MANN INVESTORS, INC.
June 18, 2004 - April 8, 2005
TOWER SQUARE SECURITIES, INC.
September 12, 2002 - March 10, 2004
SOUTHERN FARM BUREAU FUND DISTRIBUTOR, INC.
November 15, 2000 - July 24, 2002
WADDELL & REED
March 31, 1995 - May 2, 1997
UNITED SECURITIES ALLIANCE, INC.
April 11, 1994 - March 31, 1995
SENTRA SECURITIES CORPORATION
September 10, 1991 - April 14, 1994
WADDELL & REED
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.
