Douglas C. Wondrely
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.
Douglas Carl Wondrely, who also goes by Douglas C Wondrely, Douglas Carl Wondrely, Doug Wondrely, Douglas Wondrely, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1991. Douglas had worked at 6 firms and has passed the Series 63, 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 15, 2020 - October 3, 2024
ALLSTATE FINANCIAL SERVICES, LLC
May 22, 2018 - September 4, 2018
PARK AVENUE SECURITIES LLC
November 15, 2016 - November 7, 2017
HORTER INVESTMENT MANAGEMENT, LLC
April 6, 2004 - June 18, 2015
CHARLES SCHWAB & CO., INC.
March 1, 2004 - June 18, 2015
CHARLES SCHWAB & CO., INC.
August 16, 1993 - February 17, 1999
FIDELITY BROKERAGE SERVICES LLC
October 7, 1991 - August 3, 1993
FSC SECURITIES 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
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
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