Jose Estevez
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.
Jose Estevez, who also goes by Joe Estevez, Joseph Estevez, Jose Efrain Estevez, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2000. Jose had worked at 13 firms and has passed the Series 63, Series 66, 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
January 24, 2022 - March 2, 2022
ALLSTATE FINANCIAL SERVICES, LLC
December 10, 2018 - January 27, 2020
ALLSTATE FINANCIAL SERVICES, LLC
March 16, 2018 - April 17, 2018
DAVID LERNER ASSOCIATES, INC.
January 12, 2010 - August 31, 2010
ALLSTATE FINANCIAL SERVICES, LLC
November 3, 2008 - April 27, 2009
ALLSTATE FINANCIAL SERVICES, LLC
May 24, 2007 - March 31, 2008
ALLSTATE FINANCIAL SERVICES, LLC
August 19, 2005 - March 22, 2006
WEBSTER INVESTMENT SERVICES, INC.
August 16, 2005 - March 22, 2006
WEBSTER INVESTMENT SERVICES, INC.
March 11, 2004 - April 19, 2004
WADDELL & REED
February 17, 2004 - April 19, 2004
WADDELL & REED
August 25, 2003 - January 13, 2004
IDS LIFE INSURANCE COMPANY
August 25, 2003 - January 13, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
February 11, 2002 - April 2, 2002
SANDS BROTHERS & CO., LTD.
June 7, 2001 - August 2, 2001
BLUESTONE CAPITAL CORP.
February 1, 2001 - July 24, 2001
ALLEN DOUGLAS SECURITIES, INC.
January 2, 2001 - January 25, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
November 15, 2000 - January 2, 2001
GLOBAL CAPITAL MARKETS, LLC
October 27, 2000 - November 3, 2000
BOLTON GLOBAL CAPITAL
June 5, 2000 - November 21, 2000
LADENBURG CAPITAL MANAGEMENT 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.
