Luis Gonzalez
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.
Luis Gonzalez was a registered financial professional .
Luis is a previously registered financial professional and started their career in finance in 1973. Luis had worked at 15 firms and has passed the Series 66 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2013 - August 13, 2013
ALLSTATE FINANCIAL SERVICES, LLC
April 9, 2012 - November 29, 2012
NEW ENGLAND SECURITIES
November 14, 2011 - March 5, 2012
BB&T INVESTMENT SERVICES, INC.
November 8, 2011 - March 5, 2012
BB&T INVESTMENT SERVICES, INC.
June 21, 2010 - December 2, 2011
CITIGROUP GLOBAL MARKETS INC.
June 16, 2010 - December 2, 2011
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - July 17, 2008
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - July 17, 2008
CITIGROUP GLOBAL MARKETS INC.
November 30, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
November 29, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
November 12, 2001 - December 7, 2005
CITIGROUP GLOBAL MARKETS INC.
November 12, 2001 - December 7, 2005
CITIGROUP GLOBAL MARKETS INC.
August 1, 1997 - November 13, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 8, 1997 - July 30, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 1996 - July 9, 1997
IFMG SECURITIES, INC.
April 19, 1996 - September 27, 1996
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
March 21, 1996 - April 11, 1996
GKN SECURITIES CORP.
February 8, 1995 - February 23, 1996
IDS LIFE INSURANCE COMPANY
February 8, 1995 - February 23, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
July 12, 1994 - March 24, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 12, 1994 - March 24, 1995
SIGNATOR INVESTORS, INC.
February 11, 1982 - February 1, 1994
PRUCO SECURITIES, LLC.
March 19, 1973 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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 1
Date: 3/10/1973
Registered 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
