Brian J. Hoshowski
Professional summary
Brian Joseph Hoshowski was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brian is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Brian had worked at 5 firms, which includes ALLSTATE FINANCIAL SERVICES LLC, SECURITIES AMERICA INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC., WADDELL & REED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2001 - February 15, 2008
ALLSTATE FINANCIAL SERVICES, LLC
July 28, 2000 - January 26, 2001
ALLSTATE FINANCIAL SERVICES, LLC
March 25, 1996 - October 1, 2001
SECURITIES AMERICA, INC.
October 27, 1992 - March 6, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 27, 1992 - March 6, 1996
SIGNATOR INVESTORS, INC.
January 30, 1992 - September 30, 1992
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
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