Juan C. Carvajal

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CRD#: 3158234

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.

Juan Carlos Carvajal, who also goes by Juan Carvajal, was a registered financial professional .

Juan is a previously registered financial professional and started their career in finance in 1999. Juan had worked at 11 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Juan Carvajal

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

October 15, 2012 - September 10, 2013

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

MIAMI, FL

Past

September 18, 2012 - September 10, 2013

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

MIAMI, FL

Past

June 24, 2010 - July 26, 2011

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

RIA

CRD#: 131631

MIAMI, FL

Past

April 7, 2010 - July 26, 2011

CAPITAL GUARDIAN, LLC

CRD#: 137919

MIAMI, FL

Past

February 17, 2010 - March 25, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MIAMI, FL

Past

February 16, 2010 - March 25, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MIAMI, FL

Past

October 1, 2008 - October 7, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

MIAMI, FL

Past

September 26, 2008 - October 7, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

MIAMI, FL

Past

May 29, 2007 - October 9, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

FORT LAUDERDALE, FL

Past

May 29, 2007 - October 9, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

FORT LAUDERDALE, FL

Past

September 29, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

FORT LAUDERDALE, FL

Past

March 15, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

FORT LAUDERDALE, FL

Past

October 10, 2001 - March 15, 2005

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

October 1, 2000 - March 23, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

January 20, 1999 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

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".

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/26/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/21/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/6/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/19/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)

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 Accounts	280
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.

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Advisor Monitoring

Firm Stability Insights

Juan C. Carvajal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

CAPITAL GUARDIAN, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

WAMU INVESTMENTS, INC.

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/26/2005

Series 63

Date: 1/21/1999

Series 7

Date: 11/6/2001

Series 6

Date: 1/19/1999

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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