Thomas R. Schmitt

ALLSTATE FINANCIAL SERVICES

Lincoln, NE 68508-1380

Some features on this profile are disabled

CRD#: 4097866

Professional summary

Thomas Richard Schmitt, CFP®, who also goes by Tom Schmitt, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Lincoln, Nebraska.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 1 firm and has passed the Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Schmitt

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) - BD

Click below to view Thomas Richard Schmitt's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

December 14, 2021 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 151 N 8th St Ste 450, Lincoln, NE 68508-1380

CRD#: 18272

Lincoln, NE

Past

January 4, 2000 - November 25, 2020

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Indianapolis, IN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Nebraska
(12/14/2021)

Ohio
(10/15/2025)

Exams

State Security Law Exam

Series 63

Date: 12/31/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/23/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/31/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 8/29/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/20/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALLSTATE FINANCIAL SERVICES, LLC

ALLSTATE FINANCIAL SERVICES, LLC | LSA SECURITIES, INC. | LAUGHLIN GROUP ADVISORS, INC. | ALLSTATE FINANCIAL SERVICES, LLC OF DELAWARE | ALLSTATE FINANCIAL SERVICES, LLC D/B/A LSA SECURITIES

CRD#: 18272 / SEC#: , 8-36365

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508-1380

Mailing Address

Po Box 83271, Lincoln, NE 68501-3271

Phone number

(877) 232-2142

Established

Delaware since 11/01/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

Similar Advisors

Noah Alweiss

MORGAN STANLEY

IAR

Miami, FL

Brian Mckinney

COMMONWEALTH FINANCIAL NETWORK

IAR

Columbia, MD

Kevin Smith

JANNEY MONTGOMERY SCOTT LLC

IAR

York, PA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas R. Schmitt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Richard Schmitt's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/31/1999

SIE

Date: 10/1/2018

Series 7

Date: 5/23/2002

Series 6

Date: 12/31/1999

Series 51

Date: 8/29/2003

Series 24

Date: 9/20/2002

FINRA

Current Firm

ALLSTATE FINANCIAL SERVICES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALLSTATE FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors