Patricia M. Nicholls
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.
Patricia Marie Nicholls, who also goes by Patricia Marie Crawley, Patricia Trish Crawley, Patricia M Nicholls, Patricia Marie Nicholls, Patricia Nicholls, Trish Nicholls, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1997. Patricia had worked at 6 firms and has passed the Series 65, Series 63, Series 6TO, SIE 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
July 21, 2025 - September 9, 2025
ALLSTATE FINANCIAL SERVICES, LLC
June 28, 2010 - October 2, 2023
ALLSTATE FINANCIAL SERVICES, LLC
June 1, 2009 - April 29, 2010
MORGAN STANLEY
June 1, 2009 - April 29, 2010
MORGAN STANLEY
April 16, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 16, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 31, 2008 - April 24, 2008
RBC CAPITAL MARKETS, LLC
January 31, 2008 - April 24, 2008
RBC CAPITAL MARKETS, LLC
November 10, 2003 - November 21, 2007
RBC CAPITAL MARKETS, LLC
November 10, 2003 - November 21, 2007
RBC CAPITAL MARKETS, LLC
September 29, 2003 - October 29, 2003
WAMU INVESTMENTS, INC.
September 23, 2003 - October 29, 2003
WAMU INVESTMENTS, INC.
September 10, 2002 - March 3, 2003
WAMU INVESTMENTS, INC.
September 10, 2002 - March 3, 2003
WAMU INVESTMENTS, INC.
March 16, 2001 - September 11, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 19, 1997 - September 11, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
