Janice K. Nielsen
Professional summary
Janice Kay Nielsen, who also goes by Janice Murray, Jan Nielsen, Janice Gutwein Nielsen, Janice Nielsen, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Lafayette, Indiana.
Janice is registered as a RR (Registered Representative) and started their career in finance in 1993. Janice has worked at 6 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 Janice Kay Nielsen's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 8, 2003 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 2409 S 18th St, Lafayette, IN 47909-2526March 27, 2001 - January 9, 2003
OSAIC FA, INC.
November 27, 2000 - January 9, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 27, 2000 - January 9, 2003
OSAIC FA, INC.
August 31, 1998 - November 6, 2000
WMA SECURITIES, INC.
September 7, 1994 - August 3, 1998
WOODBURY FINANCIAL SERVICES, INC.
June 30, 1993 - August 5, 1994
TRANSAMERICA FINANCIAL ADVISORS, 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
(1/8/2003)
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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