Andrew E. Lasswell
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.
Andrew E Lasswell, who also goes by Andrew Evan Lasswell, Andy Lasswell, Andrew Lasswell, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2006. Andrew had worked at 7 firms and has passed the Series 63, Series 6TO, SIE, Series 55 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
November 23, 2020 - December 31, 2022
ALLSTATE FINANCIAL SERVICES, LLC
April 27, 2018 - June 17, 2020
J.P. MORGAN SECURITIES LLC
August 16, 2017 - April 25, 2018
THE O.N. EQUITY SALES COMPANY
February 24, 2017 - July 12, 2017
CREATIVEONE SECURITIES, LLC
April 7, 2015 - December 31, 2016
GRADIENT SECURITIES, LLC
July 10, 2006 - September 30, 2006
E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC
February 22, 2006 - September 16, 2014
G1 EXECUTION SERVICES, LLC
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 ExaminationSeries 55
Date: 10/5/2006
Limited Representative-Equity Trader ExamCurrent 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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