Sonia M. Perez
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.
Sonia Monica Perez, who also goes by Sonia Martinez Galvan, Sonia Martinez Martinez, Sonia Monica Martinez ^, Sonia Monica Martinez, Sonia Monica Martinez-galvan ^, Sonia Monica Perez, was a registered financial professional .
Sonia is a previously registered financial professional and started their career in finance in 2001. Sonia had worked at 9 firms and has passed the Series 66, Series 7TO, 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
December 3, 2024 - April 3, 2025
ALLSTATE FINANCIAL SERVICES, LLC
February 27, 2019 - December 23, 2020
ALLSTATE FINANCIAL SERVICES, LLC
February 25, 2019 - December 23, 2020
ALLSTATE FINANCIAL ADVISORS, LLC
September 16, 2015 - August 17, 2017
VALIC FINANCIAL ADVISORS, INC.
September 16, 2015 - August 17, 2017
VALIC FINANCIAL ADVISORS, INC.
September 20, 2011 - September 10, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 20, 2011 - September 10, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 5, 2008 - December 22, 2009
CHASE INVESTMENT SERVICES CORP.
February 5, 2008 - December 22, 2009
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - October 17, 2007
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - October 17, 2007
CHASE INVESTMENT SERVICES CORP.
November 18, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
November 18, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
December 16, 2002 - November 6, 2003
FORESTERS EQUITY SERVICES, INC.
September 26, 2001 - January 9, 2003
IDS LIFE INSURANCE COMPANY
September 26, 2001 - January 9, 2003
AMERIPRISE FINANCIAL SERVICES, 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
Series 7TO
Date: 8/7/2022
General Securities Representative ExaminationCurrent 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.
