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AB

Alex C. Brown

Some features on this profile are disabled
CRD#: 2961696
AB

Professional summary

Alex Court Brown was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Alex is a previously registered financial advisor and started their career in finance in 1997. Prior to being barred, Alex had worked at 6 firms, which includes ALLSTATE FINANCIAL SERVICES LLC, FIDELITY BROKERAGE SERVICES LLC, BMO HARRIS FINANCIAL ADVISORS INC., HARRISDIRECT LLC, CHARLES SCHWAB & CO. INC., MML INVESTORS SERVICES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alex Brown | Alexander Court Brown

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 26, 2012 - June 19, 2014

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
PALM COAST, FL
Past

August 30, 2006 - March 21, 2012

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
JACKSONVILLE, FL
Past

December 15, 2005 - July 31, 2006

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA
CRD#: 137115
SEATTLE, WA
Past

December 15, 2005 - July 31, 2006

BMO HARRIS FINANCIAL ADVISORS, INC.

BD
CRD#: 137115
SEATTLE, WA
Past

November 9, 2004 - December 31, 2005

HARRISDIRECT LLC

RIA
CRD#: 42159
SEATTLE, WA
Past

December 10, 2003 - December 31, 2005

HARRISDIRECT LLC

BD
CRD#: 42159
JERSEY CITY, NJ
Past

January 3, 1998 - December 5, 2003

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

November 10, 1997 - December 18, 1997

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/6/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/7/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 12/22/2006
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/14/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/7/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 7/18/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/31/2001
General Securities Sales Supervisor - Options Module Examination

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.

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Company Information

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

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