Alfred R. Nesbitt
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.
Alfred Richard Nesbitt, who also goes by Al Nesbitt, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 2000. Alfred had worked at 10 firms and has passed the 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
May 20, 2016 - May 21, 2018
ALLSTATE FINANCIAL SERVICES, LLC
May 16, 2016 - May 21, 2018
ALLSTATE FINANCIAL ADVISORS, LLC
July 24, 2012 - May 15, 2014
TD AMERITRADE, INC.
July 24, 2012 - May 15, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 24, 2012 - May 15, 2014
TD AMERITRADE, INC.
May 19, 2011 - July 3, 2012
PACIFIC SELECT DISTRIBUTORS, LLC
May 6, 2010 - March 17, 2011
SIGNATOR FINANCIAL SERVICES, INC.
May 6, 2010 - March 17, 2011
SIGNATOR FINANCIAL SERVICES, INC.
June 18, 2007 - October 3, 2008
U.S. BANCORP INVESTMENTS, INC.
June 18, 2007 - October 3, 2008
U.S. BANCORP INVESTMENTS, INC.
July 30, 2004 - March 9, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 2004 - March 9, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 18, 2002 - August 18, 2004
QUICK & REILLY, INC.
November 18, 2002 - August 18, 2004
QUICK & REILLY, INC.
March 15, 2001 - November 26, 2002
MORGAN STANLEY DW INC.
May 10, 2000 - November 26, 2002
MORGAN STANLEY DW 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.
