Robert A. Branca
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.
Robert Anthony Branca, who also goes by Bob Branca, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1974. Robert had worked at 7 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2011 - May 17, 2012
ALLSTATE FINANCIAL SERVICES, LLC
December 2, 1998 - June 30, 2011
ALLSTATE FINANCIAL SERVICES, LLC
September 9, 1996 - January 20, 1998
AFD, INC.
July 28, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 28, 1988 - November 27, 1995
PRUCO SECURITIES, LLC.
June 4, 1974 - July 19, 1988
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
June 4, 1974 - July 19, 1988
SIGNATOR INVESTORS, INC.
April 24, 1974 - June 17, 1974
TOWER SQUARE SECURITIES, 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
Series 1
Date: 4/20/1974
Registered 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.
