James L. Tuemler
Professional summary
James Lawrence Tuemler, who also goes by Jim Tuemler, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Independence, Kentucky.
James is registered as a RR (Registered Representative) and started their career in finance in 1995. James has worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Lawrence Tuemler's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 20, 2004 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 9570 Apple Valley Dr Unit 2, Independence, KY 41051-8812November 7, 2003 - November 5, 2004
MML INVESTORS SERVICES, LLC
April 3, 2001 - October 30, 2003
CARILLON INVESTMENTS, INC.
May 8, 1995 - April 3, 2001
FORESTERS EQUITY SERVICES, 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
(10/20/2004)
(10/20/2004)
(10/20/2004)
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
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