James N. Tomeo
Professional summary
James Nicholas Tomeo is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Mineola, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1993. James has worked at 7 firms and has passed the 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 Nicholas Tomeo's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 7, 2007 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 499 Jericho Tpke Ste 111, Mineola, NY 11501-1146September 15, 2004 - November 6, 2006
IFMG SECURITIES, INC.
September 3, 2003 - September 15, 2004
CITICORP INVESTMENT SERVICES
January 22, 2001 - August 31, 2001
NATIONAL CLEARING CORP.
November 24, 1999 - August 7, 2000
ROYAL HUTTON SECURITIES CORP.
March 29, 1999 - August 18, 1999
NATIONAL CLEARING CORP.
September 26, 1997 - October 7, 1998
PRUCO SECURITIES, LLC.
March 14, 1996 - March 26, 1997
NATIONAL CLEARING CORP.
July 5, 1995 - November 28, 1995
DETWILER FENTON WEALTH MANAGEMENT INC
November 15, 1993 - April 25, 1995
PRUCO SECURITIES, 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
(3/7/2007)
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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