Darrell G. Cooke
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.
Darrell Gifford Cooke was a registered financial professional .
Darrell is a previously registered financial professional and started their career in finance in 2000. Darrell had worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 6 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
August 12, 2020 - September 29, 2021
ALLSTATE FINANCIAL SERVICES, LLC
March 23, 2017 - August 12, 2020
HORACE MANN INVESTORS, INC.
January 29, 2014 - March 30, 2015
NATIONWIDE SECURITIES, LLC
February 8, 2006 - December 31, 2009
SOUTHERN FARM BUREAU FUND DISTRIBUTOR, INC.
May 11, 2004 - July 13, 2004
AMERIPRISE ADVISOR SERVICES, INC.
May 11, 2004 - July 13, 2004
AMERIPRISE ADVISOR SERVICES, INC.
May 19, 2003 - April 1, 2004
INVESTMENT PROFESSIONALS, INC.
May 19, 2003 - April 1, 2004
INVESTMENT PROFESSIONALS, INC.
December 7, 2001 - May 22, 2003
INVESTMENT CENTERS OF AMERICA, INC.
October 31, 2001 - May 22, 2003
INVESTMENT CENTERS OF AMERICA, INC.
January 28, 2000 - November 14, 2001
SOUTHERN FARM BUREAU FUND DISTRIBUTOR, 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.
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