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DG

Dean A. Grosskreutz

Some features on this profile are disabled
CRD#: 4211575
DG

Professional summary

Dean Allen Grosskreutz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Dean is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Dean had worked at 6 firms, which includes ALLSTATE FINANCIAL ADVISORS LLC, ALLSTATE FINANCIAL SERVICES LLC, MORGAN KEEGAN & COMPANY LLC, AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC, AMSOUTH INVESTMENT SERVICES INC., LOCUST STREET SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 3, 2010 - March 17, 2020

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
Chattanooga, TN
Past

June 29, 2010 - March 12, 2020

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
CHATTANOOGA, TN
Past

February 13, 2007 - December 8, 2009

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
CHATTANOOGA, TN
Past

February 13, 2007 - December 8, 2009

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
CHATTANOOGA, TN
Past

July 10, 2003 - February 13, 2007

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

RIA
CRD#: 111757
BIRMINGHAM, AL
Past

January 31, 2003 - July 10, 2003

AMSOUTH INVESTMENT SERVICES, INC.

RIA
CRD#: 15692
CHATTANOOGA, TN
Past

April 4, 2001 - February 13, 2007

AMSOUTH INVESTMENT SERVICES, INC.

BD
CRD#: 15692
CHATTANOOGA, TN
Past

October 13, 2000 - December 31, 2000

LOCUST STREET SECURITIES, INC.

BD
CRD#: 1703
DES MOINES, IA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/16/2001
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/13/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/12/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 Approved)
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Contact information

Main Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Mailing Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Phone number
(877) 232-2142
Established
Firm type
Fiscal year end
# of Employees
337

SEC notice filing (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts280
AUM (Assets Under Management)$ 82,015,793

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.

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524

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