Alan J. Carpenter
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.
Alan Judson Carpenter, who also goes by Alan Judson Jr Carpenter, Jay Carpenter, Alan Judson Carpenter Jr, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1991. Alan had worked at 11 firms and has passed the Series 65, Series 66, Series 63, Series 6TO, Series 7TO, SIE, Series 7 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
July 12, 2019 - January 13, 2021
ALLSTATE FINANCIAL ADVISORS, LLC
June 27, 2019 - January 13, 2021
ALLSTATE FINANCIAL SERVICES, LLC
February 19, 2016 - July 2, 2019
LPL FINANCIAL LLC
August 1, 2008 - February 23, 2016
NATIONWIDE SECURITIES, LLC
October 5, 2006 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
February 18, 2005 - February 23, 2016
NATIONWIDE SECURITIES, LLC
November 5, 2003 - January 19, 2005
PRUCO SECURITIES, LLC.
August 14, 2003 - January 19, 2005
PRUCO SECURITIES, LLC.
July 7, 1994 - December 13, 1994
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 29, 1994 - July 14, 1994
ROBERT THOMAS SECURITIES, INC
November 30, 1993 - June 24, 1994
UVEST FINANCIAL SERVICES GROUP, INC.
April 5, 1993 - November 30, 1993
UVEST BROKERAGE SERVICES
April 4, 1991 - September 16, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 4, 1991 - September 16, 1992
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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 6TO
Date: 3/3/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 12/5/2022
General Securities Representative ExaminationCurrent Firm
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
