James N. Arkin
Professional summary
James Neil Arkin, who also goes by James Neil Arkin, James Arkin, Jamie Arkin, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Phoenix, Arizona.
James is registered as a RR (Registered Representative) and started their career in finance in 1996. James has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Neil Arkin's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 19, 2018 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 15440 N 7th St Ste 8, Phoenix, AZ 85022-3535January 14, 2015 - March 30, 2018
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
May 7, 2007 - April 15, 2011
PARK AVENUE SECURITIES LLC
October 29, 1996 - May 4, 2007
MUTUAL OF OMAHA INVESTOR SERVICES, 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
(4/19/2018)
(6/27/2023)
Exams
FINRA
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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