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SH

Stephen D. Haywood

ALLSTATE FINANCIAL ADVISORS
Waterbury, CT 06705
Some features on this profile are disabled
CRD#: 2703413
SH

Professional summary

Stephen Douglas Haywood, who also goes by Doug Haywood, Douglas Haywood, Stephen D Haywood, is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Waterbury, Connecticut and ALLSTATE FINANCIAL SERVICES, LLC located in Waterbury, Connecticut.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Stephen has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Doug Haywood | Douglas Haywood | Stephen D Haywood

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
NAME - LUCKY DOG PROPERTIES, LLC - TITLE - PRESIDENT, BOARD MEMBER - ADDRESS - 1880,1882 AND 1884 E MAIN ST, WATERBURY,CT 06705. BUY AND MANAGE COMMERCIAL AND RESIDENTIAL REAL ESTATE HOLDINGS. DUTIES: PROPERTY OWNERSHIP/MANAGEMENT- TIME DEVOTED 4 HOURS A WEEK - NOT INVESTMENT RELATED. START: 8/26/12.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Douglas Haywood's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 27, 2011 - Present

ALLSTATE FINANCIAL ADVISORS, LLC

Office #1: 1884 E Main St, Waterbury, CT 06705
RIA
CRD#: 109524
Waterbury, CT
Current

October 27, 2011 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 1884 E Main St, Waterbury, CT 06705
BD
CRD#: 18272
Waterbury, CT
Past

May 16, 2008 - September 7, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
DANBURY, CT
Past

May 16, 2008 - September 7, 2011

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
DANBURY, CT
Past

May 29, 2007 - June 12, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
COS COB, CT
Past

May 29, 2007 - June 12, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
COS COB, CT
Past

January 26, 2004 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
COS COB, CT
Past

May 22, 1998 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
COS COB, CT
Past

February 20, 1997 - June 3, 1998

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR
Connecticut
(10/27/2011)
RR
Connecticut
(11/2/2011)
RR
Florida
(2/8/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/26/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/17/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/18/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 Approved)
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Contact information

Main Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Mailing Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Phone number
(877) 232-2142
Established
Firm type
Fiscal year end
# of Employees
337

SEC notice filing (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts280
AUM (Assets Under Management)$ 82,015,793

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.

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524Waterbury, CT 06705

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