Tommy T. Chau
Professional summary
Tommy Tuyen Chau is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Richardson, Texas.
Tommy is registered as a RR (Registered Representative) and started their career in finance in 1997. Tommy has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tommy Tuyen Chau's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 9, 2003 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 179 N Plano Rd Ste 200, Richardson, TX 75081-3827April 14, 1999 - April 14, 2003
PRUCO SECURITIES, LLC.
July 15, 1997 - April 2, 1999
WMA 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
(6/9/2003)
Exams
FINRA
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
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