Clyde R. Brawley
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.
Clyde Robert Brawley, who also goes by C Robert Brawley, Clyde Robert Brawley Jr, Robert Brawley, C Robert, was a registered financial professional .
Clyde is a previously registered financial professional and started their career in finance in 1973. Clyde had worked at 9 firms and has passed the Series 63, SIE, Series 22, Series 6 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
April 14, 2005 - May 4, 2017
ALLSTATE FINANCIAL SERVICES, LLC
October 17, 2003 - April 27, 2005
EQUITY SERVICES, INC.
February 18, 2003 - October 16, 2003
PRINCIPAL SECURITIES, INC.
March 19, 1999 - November 6, 2002
PRINCIPAL SECURITIES, INC.
October 1, 1997 - February 25, 1999
OSAIC FS, INC.
July 3, 1996 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
November 9, 1993 - July 9, 1996
VOYA FINANCIAL ADVISORS, INC.
October 9, 1989 - November 18, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 9, 1989 - November 18, 1993
SIGNATOR INVESTORS, INC.
January 15, 1987 - September 20, 1989
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
October 12, 1973 - May 28, 1979
LINCOLN FINANCIAL DISTRIBUTORS, 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: 10/8/1973
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.
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