James D. Simmons
Professional summary
James Delis Simmons Jr, who also goes by James Delis Simmons Jr, Jim Simmons, James Delis Simmons, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Houston, Texas.
James is registered as a RR (Registered Representative) and started their career in finance in 1996. James has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Delis Simmons Jr's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 20, 2020 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 550 Westcott St Ste 445, Houston, TX 77007-6039December 5, 2018 - September 25, 2020
ALLSTATE FINANCIAL SERVICES, LLC
October 15, 2015 - November 29, 2018
THE LEADERS GROUP, INC.
April 19, 2012 - August 19, 2015
UBS FINANCIAL SERVICES INC.
January 3, 2012 - August 19, 2015
UBS FINANCIAL SERVICES INC.
August 6, 2009 - December 5, 2011
VOYA FINANCIAL ADVISORS, INC.
April 1, 2006 - May 19, 2009
METLIFE INVESTORS DISTRIBUTION COMPANY
October 10, 2002 - April 1, 2006
TOWER SQUARE SECURITIES, INC.
May 16, 1998 - October 10, 2002
THE LEADERS GROUP, INC.
April 29, 1996 - December 31, 1997
CONCOURSE FINANCIAL GROUP SECURITIES, 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
(11/7/2024)
(10/20/2020)
Exams
FINRA
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
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