Robert C. Moriarty

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CRD#: 2705060

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.

Robert Charles Moriarty, who also goes by Bob Moriarty, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bob Moriarty

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 7, 2017 - August 7, 2018

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Hoffman Estates, IL

Past

April 5, 2017 - August 7, 2018

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

HOFFMAN ESTATES, IL

Past

May 29, 2014 - March 9, 2017

INVESTMENT PROFESSIONALS, INC.

RIA

CRD#: 30184

HARVARD, IL

Past

May 29, 2014 - March 9, 2017

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184

HARVARD, IL

Past

September 18, 2012 - June 6, 2014

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

FREEPORT, IL

Past

September 18, 2012 - June 6, 2014

FIFTH THIRD SECURITIES, INC.

CRD#: 628

FREEPORT, IL

Past

July 6, 2005 - August 31, 2011

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

ROCKFORD, IL

Past

July 6, 2005 - August 31, 2011

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

ROCKFORD, IL

Past

August 28, 2002 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

ROCKFORD, IL

Past

April 17, 2000 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

August 13, 1998 - February 16, 2000

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

February 7, 1996 - August 20, 1998

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/27/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/23/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/7/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/31/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/6/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)

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 Accounts	280
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.

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Firm Stability Insights

Robert C. Moriarty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

INVESTMENT PROFESSIONALS, INC.

INVESTMENT PROFESSIONALS, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

HORNOR, TOWNSEND & KENT, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/27/2002

Series 63

Date: 2/23/1996

SIE

Date: 8/7/2018

Series 7

Date: 7/31/1998

Series 6

Date: 2/6/1996

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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