Carol A. Nauss
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.
Carol Ann Nauss, who also goes by Carol Ann Kozlowski, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 2001. Carol had worked at 10 firms and has passed the Series 66, Series 63, 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
April 16, 2014 - May 12, 2020
ALLSTATE FINANCIAL SERVICES, LLC
December 6, 2011 - September 19, 2013
KESTRA INVESTMENT SERVICES, LLC
February 17, 2010 - November 23, 2011
VOYA FINANCIAL ADVISORS, INC.
October 1, 2008 - July 8, 2009
AMERICAN GENERAL EQUITY SERVICES CORPORATION
May 29, 2007 - February 11, 2008
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - February 11, 2008
CITIGROUP GLOBAL MARKETS INC.
August 13, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
July 26, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
October 28, 2002 - May 6, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 16, 2002 - May 6, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 1, 2002 - September 5, 2002
METROPOLITAN LIFE INSURANCE COMPANY
April 1, 2002 - September 5, 2002
MSI FINANCIAL SERVICES, INC.
March 26, 2001 - May 29, 2001
TD AMERITRADE, 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.
