Anthony V. Chase
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.
Anthony Vincent Chase, who also goes by Anthony VIncent Lapenta III, Anthony Vincent Lapenta, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1999. Anthony had worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2015 - December 31, 2023
ALLSTATE FINANCIAL SERVICES, LLC
September 3, 2014 - March 10, 2015
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
May 25, 2011 - September 21, 2011
STATE FARM VP MANAGEMENT CORP.
October 19, 2007 - June 18, 2008
WADDELL & REED
October 18, 2007 - June 18, 2008
WADDELL & REED
October 19, 2005 - March 31, 2006
METROPOLITAN LIFE INSURANCE COMPANY
October 19, 2005 - March 31, 2006
MSI FINANCIAL SERVICES, INC.
August 25, 2004 - November 16, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 6, 2004 - November 16, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 19, 2003 - July 26, 2004
ALLSTATE FINANCIAL SERVICES, LLC
January 14, 2002 - December 31, 2002
SIGNATOR INVESTORS, INC.
December 7, 1999 - April 17, 2003
SIGNATOR INVESTORS, 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.
