Edward A. Piccione
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.
Edward Anthony Piccione, who also goes by Edward A Piccione, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1994. Edward had worked at 12 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2018 - December 27, 2018
ALLSTATE FINANCIAL SERVICES, LLC
May 22, 2015 - November 7, 2016
SIGNATOR INVESTORS, INC.
February 13, 2014 - May 22, 2015
REALTA EQUITIES, INC.
January 4, 2012 - December 31, 2013
GIRARD CAPITAL, LLC
June 10, 2005 - January 6, 2012
SIGNATOR INVESTORS, INC.
October 18, 2002 - May 10, 2005
ALLSTATE FINANCIAL SERVICES, LLC
September 19, 2002 - September 25, 2002
ALLSTATE FINANCIAL SERVICES, LLC
March 27, 2001 - October 25, 2002
METROPOLITAN LIFE INSURANCE COMPANY
March 27, 2001 - October 25, 2002
MSI FINANCIAL SERVICES, INC.
November 8, 1999 - March 22, 2001
1717 CAPITAL MANAGEMENT COMPANY
March 25, 1999 - October 7, 1999
MONY SECURITIES CORPORATION
May 7, 1998 - March 24, 1999
PRUCO SECURITIES, LLC.
December 12, 1997 - March 16, 1998
NYLIFE SECURITIES LLC
August 27, 1997 - November 19, 1997
LPL FINANCIAL LLC
May 10, 1994 - August 21, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, 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.
