Rocci F. Ravella
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.
Rocci Frank Ravella, who also goes by Rocci F Ravella, was a registered financial professional .
Rocci is a previously registered financial professional and started their career in finance in 1991. Rocci had worked at 8 firms and has passed the Series 63, 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
October 19, 2012 - December 31, 2020
ALLSTATE FINANCIAL SERVICES, LLC
October 11, 2007 - October 31, 2011
SOUTHEAST INVESTMENTS, N.C., INC.
February 7, 2005 - October 16, 2007
QUESTAR ASSET MANAGEMENT, INC.
June 17, 2003 - December 31, 2005
QUESTAR CAPITAL CORPORATION
January 25, 2001 - October 11, 2007
QUESTAR CAPITAL CORPORATION
March 29, 1999 - November 21, 2000
LOCUST STREET SECURITIES, INC.
November 6, 1998 - March 3, 1999
NATIONAL PLANNING CORPORATION
October 25, 1991 - February 11, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 25, 1991 - February 11, 1993
SIGNATOR INVESTORS, INC.
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 7TO
Date: 3/21/2024
General Securities Representative ExaminationCurrent 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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