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RN

Ryan E. Nichols

ALLSTATE FINANCIAL SERVICES
Middletown, DE 19709-8871
Some features on this profile are disabled
CRD#: 2866803
RN

Professional summary

Ryan Edward Nichols is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Middletown, Delaware.

Ryan is registered as a RR (Registered Representative) and started their career in finance in 1998. Ryan has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ryan Edward Nichols's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 3, 2014 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 704 Ash Blvd, Middletown, DE 19709-8871
BD
CRD#: 18272
Middletown, DE
Past

June 9, 2009 - December 31, 2013

EVERLAKE DISTRIBUTORS, LLC

BD
CRD#: 100460
NORTHBROOK, IL
Past

February 19, 2008 - December 22, 2008

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

January 22, 2008 - February 6, 2008

CORNERSTONE FINANCIAL SERVICES, INC.

BD
CRD#: 20627
GREENFIELD, IN
Past

July 1, 2004 - December 15, 2005

INVEST FINANCIAL CORPORATION

RIA
CRD#: 12984
TAMPA, FL
Past

July 1, 2004 - December 15, 2005

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

March 19, 2003 - May 13, 2004

SEI INVESTMENTS DISTRIBUTION CO.

BD
CRD#: 10690
OAKS, PA
Past

June 30, 2000 - January 17, 2003

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
WILMINGTON, DE
Past

May 12, 2000 - January 17, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

April 18, 1999 - March 22, 2000

ING FUNDS DISTRIBUTOR, INC.

BD
CRD#: 36461
WILMINGTON, DE
Past

September 18, 1998 - January 14, 1999

NPC SECURITIES, INC.

BD
CRD#: 10121
GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Delaware
(3/4/2014)
RR
Pennsylvania
(3/4/2014)
RR
Virginia
(5/29/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/25/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/30/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/24/2000
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 2/24/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ALLSTATE FINANCIAL SERVICES, LLC
ALLSTATE FINANCIAL SERVICES, LLC | LSA SECURITIES, INC. | LAUGHLIN GROUP ADVISORS, INC. | ALLSTATE FINANCIAL SERVICES, LLC OF DELAWARE | ALLSTATE FINANCIAL SERVICES, LLC D/B/A LSA SECURITIES

CRD#: 18272 / SEC#: , 8-36365

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
151 N 8th Street, Suite 450, Lincoln, NE 68508-1380
Mailing Address
Po Box 83271, Lincoln, NE 68501-3271
Phone number
(877) 232-2142
Established
Delaware since 11/01/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALLSTATE INSURANCE COMPANYOWNER
BOUDREAU, JOHN DOUGLASCHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE6357880
DELANEY, SCOTT SULLIVANPRESIDENT AND CHIEF EXECUTIVE OFFICER2978681
LANSPA, PAUL DONALDCHIEF OPERATING OFFICER6449159
MUELLER, DAVID JOHNGENERAL COUNSEL AND SECRETARY7807045
NELSON, MARY KRISCHAIRMAN OF THE BOARD2464654
SWEENEY, MICHAEL DANIELAML OFFICER2026113
WHITCOMB, MICHAEL JAMESFINOP7495756

Disclosures

Regulatory Event4
Arbitration1

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.

Company Information

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272Middletown, DE 19709-8871

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