Richard M. Spina
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.
Richard Marc Spina, who also goes by Rich Spina, Richard Spina, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 9 firms and has passed the Series 63, SIE 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
August 4, 2015 - June 28, 2017
ALLSTATE FINANCIAL SERVICES, LLC
April 19, 2012 - January 27, 2014
PARK AVENUE SECURITIES LLC
January 24, 2011 - April 29, 2011
NYLIFE SECURITIES LLC
June 25, 2010 - December 17, 2010
EQUITABLE ADVISORS, LLC
April 27, 1999 - December 31, 1999
PMG SECURITIES CORPORATION
January 6, 1995 - June 15, 1998
VOYA FINANCIAL PARTNERS, LLC
May 4, 1992 - November 30, 1994
CITISTREET EQUITIES LLC
April 28, 1992 - May 28, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 28, 1992 - May 28, 1992
PRUCO SECURITIES, LLC.
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
