Mark R. Malouf
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.
Mark Rudolph Malouf was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1992. Mark had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2013 - April 7, 2021
ALLSTATE FINANCIAL ADVISORS, LLC
June 10, 2013 - April 7, 2021
ALLSTATE FINANCIAL SERVICES, LLC
September 6, 2005 - May 24, 2013
LPL FINANCIAL LLC
September 6, 2005 - May 24, 2013
LPL FINANCIAL LLC
August 6, 2002 - October 11, 2005
AMERICAN GENERAL FINANCIAL ADVISORS, INC.
December 12, 2001 - September 30, 2005
VALIC FINANCIAL ADVISORS, INC.
December 12, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
December 12, 2001 - September 30, 2005
VALIC FINANCIAL ADVISORS, INC.
April 3, 2000 - December 14, 2001
LPL FINANCIAL LLC
October 12, 1999 - April 4, 2000
GATEWAY INVESTMENT SERVICES, INC.
July 29, 1997 - March 31, 2000
VALIC FINANCIAL ADVISORS, INC.
June 17, 1992 - March 31, 2000
THE VARIABLE ANNUITY MARKETING COMPANY
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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: 10/4/2022
General Securities Representative ExaminationSeries 6TO
Date: 10/4/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
