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CD

Charles E. Davis

Some features on this profile are disabled
CRD#: 3111678
CD

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.

Charles Eugene Davis, who also goes by Charles E Davis, Charles Davis, Chuck Eugene Davis, Chuck Eugene Davis, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 2001. Charles had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles E Davis | Charles Davis | Chuck Eugene Davis | Chuck Eugene Davis

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.
DOOR DASH POSITION: delivery driver NATURE: Will be driving for Door Dash INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 30 START DATE: 01/23/2023 ADDRESS: 9219, Rock Pond Way, Colorado Springs CO 80924, United States DESCRIPTION: Will take orders for door dash website and deliver purchased items

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

March 28, 2011 - September 22, 2023

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
COLORADO SPRINGS, CO
Past

December 7, 2010 - September 22, 2023

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
COLORADO SPRINGS, CO
Past

March 17, 2010 - November 18, 2010

WADDELL & REED

RIA
CRD#: 866
COLORADO SPRINGS, CO
Past

June 23, 2009 - November 18, 2010

WADDELL & REED

BD
CRD#: 866
COLORADO SPRINGS, CO
Past

June 7, 2001 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
GREENWOOD VILLAGE, CO
Past

June 7, 2001 - April 23, 2009

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
COLORADO SPRINGS, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 Approved)

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: 3/5/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/29/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/6/2001
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 Approved)
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Contact information

Main Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Mailing Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Phone number
(877) 232-2142
Established
Firm type
Fiscal year end
# of Employees
337

SEC notice filing (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts280
AUM (Assets Under Management)$ 82,015,793

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.

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524

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