Harry H. Bond
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.
Harry Howe Bond was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1995. Harry had worked at 12 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2016 - June 20, 2018
ALLSTATE FINANCIAL SERVICES, LLC
September 18, 2003 - September 4, 2008
SCOTTRADE, INC.
May 19, 1999 - September 2, 2003
TD AMERITRADE, INC.
August 3, 1998 - October 6, 1998
MOMENTUM INDEPENDENT NETWORK INC.
May 21, 1998 - August 4, 1998
D.L. CROMWELL INVESTMENTS, INC.
February 10, 1998 - May 26, 1998
MORGAN GRANT CAPITAL CORP.
December 24, 1997 - February 14, 1998
MORGAN, TAYLOR & ASSOCIATES, INC.
May 29, 1997 - December 31, 1997
PACIFIC CORTEZ SECURITIES INCORPORATED
March 13, 1997 - May 30, 1997
INSTITUTIONAL EQUITY CORPORATION
February 4, 1997 - March 10, 1997
MATRIX SECURITIES CORPORATION
September 17, 1996 - February 7, 1997
GLOBAL CAPITAL MARKETS, LLC
April 12, 1995 - October 10, 1996
STRATTON OAKMONT 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.
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