Daniel Shainheit
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.
Daniel Shainheit was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1993. Daniel had worked at 14 firms and has passed the 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
August 21, 2008 - July 11, 2018
ALLSTATE FINANCIAL SERVICES, LLC
July 21, 2005 - December 8, 2005
TRUIST INVESTMENT SERVICES, INC.
January 25, 2005 - July 18, 2005
IFMG SECURITIES, INC.
October 20, 2004 - December 17, 2004
WAMU INVESTMENTS, INC.
August 28, 2003 - September 16, 2004
QUICK & REILLY, INC.
March 20, 2003 - August 20, 2003
BNY MELLON SECURITIES LLC
September 27, 2002 - March 25, 2003
ESSEX NATIONAL SECURITIES, LLC
September 25, 2002 - September 27, 2002
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - May 22, 2002
WELLS FARGO CLEARING SERVICES, LLC
March 17, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
October 21, 1998 - December 31, 1999
SUMMIT FINANCIAL SERVICES GROUP, INC.
January 30, 1998 - October 21, 1998
FISERV INVESTOR SERVICES, INC.
April 1, 1996 - January 9, 1998
PNC BROKERAGE CORP
August 16, 1993 - February 1, 1995
CHARLES SCHWAB & CO., INC.
June 3, 1993 - July 27, 1993
MORGAN STANLEY DW 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
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.
