William R. Brown
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.
William Russell Brown, who also goes by Russell Brown, William Brown, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1996. William had worked at 9 firms and has passed the Series 63, SIE, Series 6, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2010 - December 31, 2016
ALLSTATE FINANCIAL SERVICES, LLC
June 23, 2003 - May 18, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 20, 1999 - May 15, 2000
WELLS FARGO SECURITIES INC.
June 9, 1999 - May 15, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 25, 1998 - June 14, 1999
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
November 12, 1997 - October 7, 1998
IDS LIFE INSURANCE COMPANY
November 12, 1997 - October 7, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
October 14, 1996 - February 12, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 14, 1996 - February 12, 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.
