Victor L. Loperfido
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.
Victor Louis Loperfido was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 1999. Victor had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 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, 2010 - October 22, 2018
ALLSTATE FINANCIAL SERVICES, LLC
July 24, 2006 - October 30, 2009
CHASE INVESTMENT SERVICES CORP.
July 24, 2006 - October 30, 2009
CHASE INVESTMENT SERVICES CORP.
June 6, 2006 - August 2, 2006
HSBC SECURITIES (USA) INC.
January 1, 2005 - August 2, 2006
HSBC SECURITIES (USA) INC.
December 3, 2004 - January 1, 2005
HSBC BROKERAGE (USA) INC.
March 10, 2003 - November 16, 2004
IFMG SECURITIES, INC.
October 10, 2001 - November 16, 2004
IFMG SECURITIES, INC.
July 28, 1999 - October 5, 2001
PRUDENTIAL EQUITY GROUP, LLC
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.
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