Timothy Fay
Professional summary
Timothy Fay is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Orangeburg, New York.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 1996. Timothy has worked at 3 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Timothy Fay's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 5, 2013 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 450 Western Hwy Ste C, Orangeburg, NY 10962-2188October 17, 2002 - December 15, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 12, 1996 - October 17, 2002
HERZOG, HEINE, GEDULD, 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
(12/5/2013)
Exams
Series 55
Date: 3/12/1999
Limited Representative-Equity Trader ExamFINRA
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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