Matthew J. Augugliaro
Professional summary
Matthew Joseph Augugliaro is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Huntington, New York.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 1995. Matthew has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Matthew Joseph Augugliaro's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 10, 2014 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 595 W Jericho Tpke, Huntington, NY 11743-6362June 21, 2013 - July 2, 2014
HORNOR, TOWNSEND & KENT, LLC
January 29, 2007 - July 11, 2013
EQUITY SERVICES, INC.
April 3, 2003 - November 3, 2006
LEHMAN BROTHERS INC.
March 18, 1999 - October 2, 2002
BANC OF AMERICA SECURITIES LLC
September 13, 1995 - March 4, 1999
LEHMAN BROTHERS INC.
August 2, 1995 - October 2, 1995
IDS LIFE INSURANCE COMPANY
August 2, 1995 - October 2, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
January 5, 1995 - January 17, 1995
SHEFFIELD 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
(9/16/2014)
(5/11/2021)
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
