Brent K. Garner
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.
Brent Keith Garner, who also goes by Brent K Garner, was a registered financial professional .
Brent is a previously registered financial professional and started their career in finance in 1994. Brent had worked at 11 firms and has passed the Series 65, Series 63, 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
January 29, 2014 - August 14, 2014
ALLSTATE FINANCIAL SERVICES, LLC
August 16, 2010 - April 3, 2013
USAA FINANCIAL PLANNING SERVICES
July 30, 2010 - April 3, 2013
USAA FINANCIAL ADVISORS, INC.
March 21, 2007 - December 4, 2009
INVESTMENT ADVISORS CORP
February 16, 2007 - December 4, 2009
BROKER DEALER FINANCIAL SERVICES CORP.
October 9, 2006 - March 1, 2007
SII INVESTMENTS, INC.
October 9, 2006 - March 1, 2007
SII INVESTMENTS, INC.
March 30, 2006 - October 2, 2006
U.S. BANCORP INVESTMENTS, INC.
January 28, 2004 - October 2, 2006
U.S. BANCORP INVESTMENTS, INC.
December 4, 2001 - December 31, 2003
FORESTERS EQUITY SERVICES, INC.
January 19, 2000 - December 31, 2000
EQUITY SERVICES, INC.
December 13, 1994 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
December 13, 1994 - October 30, 1997
SIGNATOR INVESTORS, 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.
