Frank F. Andrea
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.
Frank Ford Andrea JR, who also goes by Frank Ford Andrea, Frank Ford Jr Andrea, was a registered financial advisor .
Frank is a previously registered financial advisor and started their career in finance in 1994. Frank 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
April 27, 2011 - July 9, 2015
ALLSTATE FINANCIAL SERVICES, LLC
June 22, 2009 - January 18, 2011
LPL FINANCIAL LLC
June 19, 2009 - January 18, 2011
LPL FINANCIAL LLC
June 1, 2009 - June 26, 2009
MORGAN STANLEY
June 1, 2009 - June 26, 2009
MORGAN STANLEY
September 28, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 27, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 16, 2004 - April 21, 2004
MORGAN STANLEY DW INC.
October 22, 2002 - October 4, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 16, 2002 - October 4, 2005
WELLS FARGO CLEARING SERVICES, LLC
March 21, 2001 - October 15, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 4, 1994 - July 14, 1995
THRIVENT INVESTMENT MANAGEMENT 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.
