Roger A. Field
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.
Roger Alan Field, who also goes by Roger Field, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1992. Roger had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 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
May 29, 2014 - December 21, 2018
ALLSTATE FINANCIAL SERVICES, LLC
May 3, 2013 - September 23, 2013
FIDELITY BROKERAGE SERVICES LLC
March 14, 2012 - December 21, 2012
NEW ENGLAND SECURITIES
October 10, 2011 - December 21, 2012
MSI FINANCIAL SERVICES, INC.
July 28, 2011 - October 14, 2011
NYLIFE SECURITIES LLC
April 14, 2008 - July 11, 2011
WILBANKS SECURITIES ADVISORY
July 8, 2005 - July 11, 2011
WILBANKS SECURITIES, INC.
June 3, 2005 - July 11, 2005
WORTHMARK FINANCIAL SERVICES, LLC
June 1, 2005 - June 6, 2005
EQUITABLE ADVISORS, LLC
February 12, 2003 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
April 18, 2002 - June 1, 2005
MONY SECURITIES CORPORATION
August 3, 2000 - May 13, 2002
EQUITABLE ADVISORS, LLC
March 10, 2000 - June 13, 2000
PRIME CAPITAL SERVICES, INC.
August 14, 1998 - March 13, 2000
CHASE INVESTMENT SERVICES CORP.
April 3, 1997 - July 22, 1998
ESSEX NATIONAL SECURITIES, LLC
December 10, 1996 - March 10, 1997
CITICORP INVESTMENT SERVICES
March 24, 1995 - December 2, 1996
DIME SECURITIES, INC.
December 2, 1992 - June 10, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
