David F. Faline
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.
David Francis Faline, who also goes by David F Faline, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 12 firms and has passed the Series 63, SIE 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
April 3, 2017 - June 15, 2017
ALLSTATE FINANCIAL SERVICES, LLC
February 25, 2009 - December 28, 2015
NEWBRIDGE SECURITIES CORPORATION
October 31, 2007 - October 31, 2008
AURA FINANCIAL SERVICES, INC.
August 22, 2007 - November 23, 2007
NATIONAL SECURITIES CORPORATION
August 2, 2006 - August 22, 2007
NEWBRIDGE SECURITIES CORPORATION
July 15, 2004 - February 1, 2005
J.P. TURNER & COMPANY, L.L.C.
October 17, 2003 - February 27, 2004
ALLSTATE FINANCIAL SERVICES, LLC
November 8, 2002 - April 4, 2003
HIGH MARK SECURITIES, INC.
April 17, 2002 - August 22, 2002
BROOKSTREET SECURITIES CORPORATION
January 2, 2002 - April 23, 2002
LADENBURG CAPITAL MANAGEMENT INC.
April 4, 2001 - January 2, 2002
LADENBURG THALMANN & CO. INC.
June 1, 2000 - April 10, 2001
PRUDENTIAL EQUITY GROUP, LLC
February 10, 1999 - June 12, 2000
JWGENESIS SECURITIES, INC.
February 25, 1998 - February 10, 1999
GRUNTAL & CO., L.L.C.
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
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
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.
