Jeffrey S. Utley
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.
Jeffrey Scott Utley, who also goes by Jeffrey S Utley, Jeff Utley, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2000. Jeffrey had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2021 - September 30, 2024
ALLSTATE FINANCIAL SERVICES, LLC
July 30, 2019 - March 4, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 5, 2018 - June 28, 2019
HORNOR, TOWNSEND & KENT, LLC
March 15, 2017 - September 19, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 17, 2013 - March 3, 2017
PARK AVENUE SECURITIES LLC
August 13, 2009 - April 19, 2013
MML INVESTORS SERVICES, LLC
December 18, 2000 - July 28, 2009
NYLIFE SECURITIES LLC
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
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