Debra L. Imus
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.
Debra Lynn Imus, who also goes by Debra Lynn Dumond, Debra Lynn Hatcher, Debra L Imus, Debra Lynn Strickland, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1994. Debra had worked at 8 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2005 - June 19, 2019
ALLSTATE FINANCIAL SERVICES, LLC
June 21, 2004 - September 26, 2005
PRUCO SECURITIES, LLC.
September 17, 2003 - September 26, 2005
PRUCO SECURITIES, LLC.
March 5, 2002 - September 15, 2003
UBS FINANCIAL SERVICES INC.
March 5, 2002 - September 15, 2003
UBS FINANCIAL SERVICES INC.
February 5, 1999 - March 27, 2002
CITIGROUP GLOBAL MARKETS INC.
June 2, 1998 - June 15, 1999
DB ALEX. BROWN LLC
April 1, 1998 - June 4, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 16, 1996 - April 1, 1998
BARNETT INVESTMENTS, INC.
July 7, 1994 - December 31, 1996
PFS INVESTMENTS 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.
