Thomas J. Desimone
Professional summary
Thomas John Desimone was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Thomas had worked at 9 firms, which includes ALLSTATE FINANCIAL SERVICES LLC, ALL-TECH DIRECT INC., C. J. M. PLANNING CORP., NATIONWIDE SECURITIES CORPORATION, DICKINSON & CO., A. T. BROD & CO. INC., MONTANO SECURITIES CORPORATION, AMERITRADE INSTITUTIONAL SERVICES INC., ROBERT TODD FINANCIAL CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2000 - March 8, 2002
ALLSTATE FINANCIAL SERVICES, LLC
July 17, 2000 - July 25, 2000
ALL-TECH DIRECT, INC.
March 21, 1998 - May 20, 1998
C. J. M. PLANNING CORP.
September 27, 1995 - June 26, 1996
NATIONWIDE SECURITIES CORPORATION
February 15, 1995 - July 12, 1995
DICKINSON & CO.
December 22, 1994 - February 23, 1995
A. T. BROD & CO. INC.
November 12, 1993 - September 9, 1994
MONTANO SECURITIES CORPORATION
July 9, 1993 - August 24, 1993
AMERITRADE INSTITUTIONAL SERVICES, INC.
April 28, 1992 - June 12, 1992
ROBERT TODD FINANCIAL CORP.
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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