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Leonard John Ament

CRD# 2273348·Registered 1992 - 2022
Previously Registered: Being a previously registered professional could mean that Leonard 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.

Professional Summary

Leonard John Ament, who also goes by Len Ament, Leonard Ament, was a registered financial advisor. Leonard was a previously registered financial professional and started their career in finance 1992 - 2022. Leonard had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Len Ament, Leonard Ament

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

34 years in the financial services industry

Current & Past Employments

ALLSTATE FINANCIAL SERVICES, LLC·CRD# 18272
BD
Fort Mill, SC
January 29, 2021 - January 20, 2022
ALLSTATE FINANCIAL SERVICES, LLC·CRD# 18272
BD
Chesapeake, VA
January 30, 2009 - December 31, 2020
TRUIST INVESTMENT SERVICES, INC.·CRD# 17499
RIA
Norfolk, VA
August 25, 2005 - January 5, 2009
TRUIST INVESTMENT SERVICES, INC.·CRD# 17499
BD
Norfolk, VA
August 25, 2005 - January 5, 2009
HARRISDIRECT LLC·CRD# 42159
BD
Jersey City, NJ
May 1, 2002 - August 29, 2005
HARRIS INVESTORLINE INC.·CRD# 6362
BD
Seattle, WA
February 20, 2002 - May 1, 2002
BANC ONE SECURITIES CORPORATION·CRD# 16999
BD
Chicago, IL
July 21, 2000 - March 4, 2002
HIMCO DISTRIBUTION SERVICES COMPANY·CRD# 6604
BD
Hartford, CT
September 9, 1998 - July 5, 2000
ROBERT W. BAIRD & CO. INCORPORATED·CRD# 8158
BD
Milwaukee, WI
September 11, 1992 - July 14, 1998
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC·CRD# 2881
BD
Milwaukee, WI
September 11, 1992 - August 31, 1998

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Current Firm

AF
ALLSTATE FINANCIAL SERVICES, LLC

ALLSTATE FINANCIAL SERVICES, LLC | LSA SECURITIES, INC. | LAUGHLIN GROUP ADVISORS, INC. | ALLSTATE FINANCIAL SERVICES, LLC OF DELAWARE | ALLSTATE FINANCIAL SERVICES, LLC D/B/A LSA SECURITIES

CRD#: 18272 / SEC#: 8-36365
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Contact Information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508-1380

Mailing Address

Po Box 83271, Lincoln, NE 68501-3271

Phone Number

(877) 232-2142

Established

Delaware since 11/01/1999

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Large

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALLSTATE INSURANCE COMPANYOWNER—
BOUDREAU, JOHN DOUGLASCHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE, FINOP6357880
LANSPA, PAUL DONALDCHIEF OPERATING OFFICER6449159
MUELLER, DAVID JOHNGENERAL COUNSEL AND SECRETARY7807045
NELSON, MARY KRISINTERIM PRESIDENT AND CHIEF EXECUTIVE OFFICER2464654
SWEENEY, MICHAEL DANIELAML OFFICER2026113

Disclosures

Regulatory Event

4

Arbitration

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1994About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Sep 1992About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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