Barton J. Bradshaw
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.
Barton Jay Bradshaw, who also goes by Bart Bradshaw, was a registered financial professional .
Barton is a previously registered financial professional and started their career in finance in 1995. Barton had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2019 - September 30, 2020
ALLSTATE FINANCIAL SERVICES, LLC
August 20, 2014 - June 19, 2017
NYLIFE SECURITIES LLC
May 19, 2006 - May 23, 2014
CAPITAL BROKERAGE CORPORATION
January 14, 2005 - May 16, 2005
PAPALIA ASSET MANAGEMENT, INC.
November 18, 2004 - May 10, 2005
FIRST SAVINGS SECURITIES, INC.
April 23, 2003 - March 29, 2004
PAPALIA FINANCIAL SERVICES INC.
April 16, 2003 - April 4, 2005
M HOLDINGS SECURITIES, INC.
June 20, 2002 - December 14, 2004
VICUS CAPITAL, INC.
October 1, 2001 - April 29, 2003
WALNUT STREET SECURITIES, INC.
June 9, 2000 - September 28, 2001
1717 CAPITAL MANAGEMENT COMPANY
October 21, 1996 - April 23, 1997
CALTON & ASSOCIATES, INC.
June 6, 1996 - October 28, 1996
MERIDIAN ASSET MANAGEMENT, INC.
May 12, 1995 - February 29, 1996
PRUCO SECURITIES, 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.
