Steven P. Poulos
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.
Steven Peter Poulos, who also goes by Steve Poulos, Steven P Poulos, Steven Poulos, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1999. Steven had worked at 9 firms and has passed the Series 63 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
March 16, 2011 - October 8, 2013
ALLSTATE FINANCIAL SERVICES, LLC
April 14, 2010 - December 31, 2010
G. A. REPPLE & COMPANY
October 5, 2007 - April 17, 2008
BONDS.COM LLC
July 25, 2007 - August 14, 2007
RNA CAPITAL, INC.
August 23, 2006 - December 18, 2006
EAGLE STRATEGIES LLC
July 27, 2006 - December 18, 2006
NYLIFE SECURITIES LLC
February 2, 2005 - March 29, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 10, 2005 - March 29, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 5, 2001 - January 3, 2005
CHARLES SCHWAB & CO., INC.
October 5, 2001 - January 3, 2005
CHARLES SCHWAB & CO., INC.
April 23, 1999 - October 11, 2001
MORGAN STANLEY DW INC.
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.
