Norm D. Crisostomo
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.
Norm D Crisostomo, who also goes by Norman D Crisostomo, Norman Dindo Crisostomo, was a registered financial professional .
Norm is a previously registered financial professional and started their career in finance in 1996. Norm had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2020 - March 10, 2023
ALLSTATE FINANCIAL SERVICES, LLC
November 6, 2018 - January 2, 2020
NEXPOINT SECURITIES, INC.
October 26, 2009 - September 20, 2018
AUGUSTAR DISTRIBUTORS, INC.
April 9, 2008 - June 10, 2009
TRANSAMERICA CAPITAL, LLC
February 15, 2007 - April 7, 2008
GUARDIAN INVESTOR SERVICES LLC
March 13, 2006 - February 12, 2007
CCO CAPITAL, LLC
May 17, 2004 - March 27, 2006
FIRST ALLIED SECURITIES, INC.
March 5, 2004 - March 27, 2006
FIRST ALLIED SECURITIES, INC.
June 5, 2000 - March 11, 2004
UBS FINANCIAL SERVICES INC.
April 28, 2000 - March 11, 2004
UBS FINANCIAL SERVICES INC.
July 10, 1998 - May 17, 2000
PRUDENTIAL EQUITY GROUP, LLC
October 13, 1997 - June 15, 1998
PAULSON INVESTMENT COMPANY LLC
December 3, 1996 - October 17, 1997
WALDRON & CO., 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.
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