Brian T. Wesp
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.
Brian Todd Wesp was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1991. Brian had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2016 - August 2, 2018
ALLSTATE FINANCIAL SERVICES, LLC
January 1, 2010 - July 6, 2016
INVESCO ADVISERS, INC.
January 15, 2008 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
August 22, 2007 - July 6, 2016
INVESCO DISTRIBUTORS, INC.
September 20, 2005 - August 21, 2007
ALLIANZ LIFE FINANCIAL SERVICES, LLC
September 26, 2003 - September 29, 2005
LEGACY FINANCIAL SERVICES, INC.
April 13, 2001 - April 10, 2003
ALLIANZ LIFE FINANCIAL SERVICES, LLC
September 23, 1999 - January 8, 2001
IDS LIFE INSURANCE COMPANY
September 23, 1999 - January 8, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
December 5, 1996 - May 4, 1999
AMERICAN GENERAL EQUITY SERVICES CORPORATION
November 7, 1994 - October 16, 1995
CITISTREET EQUITIES LLC
September 19, 1991 - October 28, 1994
EDWARD JONES
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.
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