Steven F. Moore
Professional summary
Steven Frederick Moore, CFP®, who also goes by Steve Moore, Steven F Moore, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Rockville, Maryland.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1994. Steven has worked at 8 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Frederick Moore's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 10, 2010 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 14809 Southlawn Ln, Rockville, MD 20850-1320June 5, 2009 - October 14, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 28, 2009 - October 14, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 9, 2008 - June 16, 2010
R&M WEALTH MANAGEMENT SERVICES, LLC
February 25, 2008 - June 5, 2008
GROVE POINT INVESTMENTS, LLC
April 12, 2005 - June 1, 2009
GROVE POINT INVESTMENTS, LLC
December 13, 2000 - May 6, 2005
1ST GLOBAL ADVISORS INC
September 6, 2000 - May 6, 2005
1ST GLOBAL CAPITAL CORP.
March 15, 1994 - August 24, 2000
THE ADVISORS GROUP, 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
(10/31/2024)
(11/11/2010)
(10/8/2025)
(1/12/2021)
(11/10/2010)
(5/1/2020)
(11/10/2010)
(11/10/2010)
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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