Matthew J. Heck
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.
Matthew James Heck, who also goes by Matthew J Heck, Matthew Heck, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2000. Matthew had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2014 - December 7, 2017
ALLSTATE FINANCIAL SERVICES, LLC
August 22, 2013 - October 22, 2014
NEW ENGLAND SECURITIES
February 22, 2010 - July 19, 2011
CUSO FINANCIAL SERVICES, L.P.
February 11, 2010 - July 19, 2011
CUSO FINANCIAL SERVICES, L.P.
August 25, 2009 - February 19, 2010
NYLIFE SECURITIES LLC
August 5, 2008 - July 21, 2009
ALLSTATE FINANCIAL SERVICES, LLC
May 27, 2008 - July 10, 2008
LPL FINANCIAL LLC
May 27, 2008 - July 10, 2008
LPL FINANCIAL LLC
October 12, 2005 - May 27, 2008
IFMG SECURITIES, INC.
August 2, 2005 - May 27, 2008
IFMG SECURITIES, INC.
July 2, 2003 - August 3, 2005
ALLSTATE FINANCIAL SERVICES, LLC
September 17, 2002 - June 25, 2003
QUICK & REILLY, INC.
December 19, 2001 - June 25, 2003
QUICK & REILLY, INC.
May 12, 2000 - December 12, 2001
MORGAN STANLEY DW INC.
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.
