Scott R. Shrewsbury
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.
Scott Robert Shrewsbury, who also goes by Scott Caufield, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1992. Scott had worked at 8 firms and has passed the Series 65, Series 63, 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
January 5, 2021 - May 13, 2021
ALLSTATE FINANCIAL SERVICES, LLC
October 3, 2011 - December 31, 2020
ALLSTATE FINANCIAL SERVICES, LLC
August 1, 2003 - December 21, 2007
EGE ADVISORS, LTD.
August 1, 2003 - December 21, 2007
EMERGING GROWTH EQUITIES, LTD.
May 29, 1997 - August 14, 2002
VANGUARD ADVISERS, INC.
April 2, 1997 - May 28, 2002
VANGUARD MARKETING CORPORATION
February 1, 1994 - February 21, 1997
1717 CAPITAL MANAGEMENT COMPANY
September 25, 1992 - February 19, 1993
IDS LIFE INSURANCE COMPANY
September 25, 1992 - February 19, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
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.
