Larry W. Rumburg
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.
Larry William Rumburg was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1992. Larry had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2017 - May 11, 2017
ALLSTATE FINANCIAL ADVISORS, LLC
February 28, 2017 - May 11, 2017
ALLSTATE FINANCIAL SERVICES, LLC
October 14, 2015 - August 19, 2016
CREATIVEONE SECURITIES, LLC
October 14, 2015 - August 12, 2016
CREATIVEONE SECURITIES, LLC
December 16, 1999 - October 27, 2015
INVESTMENT CENTERS OF AMERICA, INC.
October 13, 1992 - October 15, 2015
INVESTMENT CENTERS OF AMERICA, INC.
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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 ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
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.
