Lorin J. Riskind
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.
Lorin Jeremy Riskind, who also goes by Lorin J Riskind, was a registered financial professional .
Lorin is a previously registered financial professional and started their career in finance in 1996. Lorin had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2017 - June 4, 2018
ALLSTATE FINANCIAL SERVICES, LLC
April 25, 2017 - October 6, 2017
SECURITIES MANAGEMENT & RESEARCH, INC.
April 24, 2017 - October 6, 2017
BFC PLANNING, INC.
April 24, 2014 - July 18, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 2014 - July 18, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 19, 2010 - April 8, 2014
SPC
April 19, 2010 - April 8, 2014
SIGMA FINANCIAL CORPORATION
September 11, 2009 - April 19, 2010
B. RILEY WEALTH MANAGEMENT
September 11, 2009 - April 19, 2010
B. RILEY WEALTH MANAGEMENT
September 5, 2006 - September 3, 2009
BOK FINANCIAL SECURITIES, INC.
September 5, 2006 - September 3, 2009
BOK FINANCIAL SECURITIES, INC.
November 3, 2003 - August 28, 2006
BBVA COMPASS INVESTMENT SOLUTIONS, INC
November 3, 2003 - August 28, 2006
BBVA COMPASS INVESTMENT SOLUTIONS, INC
December 15, 2000 - October 29, 2003
MML INVESTORS SERVICES, LLC
December 15, 2000 - January 27, 2004
HFG ADVISORS, L.L.C.
December 15, 2000 - October 29, 2003
MML INVESTORS SERVICES, LLC
June 29, 1998 - December 13, 2000
UBS FINANCIAL SERVICES INC.
August 27, 1996 - May 26, 1998
NYLIFE 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.
