David K. Fuger
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.
David King Fuger, who also goes by David King Fuger Jr, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1996. David had worked at 10 firms and has passed the Series 63, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2010 - May 3, 2012
ALLSTATE FINANCIAL SERVICES, LLC
February 12, 2007 - March 22, 2007
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
August 10, 2005 - January 4, 2007
MML INVESTORS SERVICES, LLC
August 20, 2004 - April 7, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 3, 2002 - August 13, 2004
PEB FINANCIAL GROUP, INC.
June 27, 2000 - July 24, 2000
CHICAGO INVESTMENT GROUP, LLC
December 23, 1999 - April 10, 2000
IDS LIFE INSURANCE COMPANY
December 23, 1999 - April 10, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
November 23, 1998 - April 5, 2001
WELLS FARGO CLEARING SERVICES, LLC
December 23, 1996 - March 10, 1997
PHILLIPS & COMPANY
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.
