Steven P. Hall
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.
Steven Peter Hall, who also goes by Steven Peter Hall, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1995. Steven had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2020 - May 27, 2022
ALLSTATE FINANCIAL SERVICES, LLC
December 24, 2014 - October 16, 2018
FARMERS FINANCIAL SOLUTIONS, LLC
January 30, 2013 - December 5, 2013
PARK AVENUE SECURITIES LLC
June 6, 2008 - June 30, 2011
MML INVESTORS SERVICES, LLC
February 1, 2008 - June 6, 2008
MML DISTRIBUTORS, LLC
November 8, 2001 - August 4, 2003
VERAVEST INVESTMENTS, INC.
January 28, 1997 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 28, 1997 - December 21, 2000
SIGNATOR INVESTORS, INC.
January 9, 1995 - October 14, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 9, 1995 - October 14, 1996
EQUITABLE ADVISORS, LLC
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.
