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JM

James R. Munsey

ALLSTATE FINANCIAL SERVICES
Newark, DE 19711-5703
Some features on this profile are disabled
CRD#: 4390216
JM

Professional summary

James Richard Munsey II, who also goes by James Richard Munsey, Richard Munsey, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Newark, Delaware.

James is registered as a RR (Registered Representative) and started their career in finance in 2001. James has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Richard Munsey | Richard Munsey

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) - BD

Click below to view James Richard Munsey II's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

April 6, 2016 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 6 Polly Drummond Hill Rd, Newark, DE 19711-5703
BD
CRD#: 18272
Newark, DE
Past

January 28, 2015 - November 3, 2015

CAPITAL ONE ADVISORS, LLC

RIA
CRD#: 136865
SEATTLE, WA
Past

January 2, 2015 - November 3, 2015

CAPITAL ONE INVESTING, LLC

BD
CRD#: 45744
Wilmington, DE
Past

July 9, 2014 - January 28, 2015

CAPITAL ONE FINANCIAL ADVISORS LLC

RIA
CRD#: 127236
MELVILLE, NY
Past

July 9, 2014 - January 2, 2015

CAPITAL ONE INVESTMENT SERVICES LLC

BD
CRD#: 25658
Wilmington, DE
Past

March 29, 2011 - July 2, 2014

CAPITAL ONE ADVISORS, LLC

RIA
CRD#: 136865
MCLEAN, VA
Past

June 6, 2008 - July 2, 2014

CAPITAL ONE INVESTING, LLC

BD
CRD#: 45744
WILMINGTON, DE
Past

September 18, 2001 - November 26, 2008

ING DIRECT SECURITIES INC.

BD
CRD#: 112624
LOS ANGELES, CA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(7/22/2019)
RR
Delaware
(4/6/2016)
RR
Florida
(5/25/2016)
RR
Maryland
(4/6/2016)
RR
New Jersey
(9/27/2017)
RR
North Carolina
(9/20/2019)
RR
Ohio
(12/5/2022)
RR
Pennsylvania
(4/6/2016)
RR
Texas
(1/18/2024)
RR
Virginia
(4/6/2016)
RR
West Virginia
(5/25/2016)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/11/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/6/2001
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: 12/4/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/30/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/5/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ALLSTATE FINANCIAL SERVICES, LLC
ALLSTATE FINANCIAL SERVICES, LLC | LSA SECURITIES, INC. | LAUGHLIN GROUP ADVISORS, INC. | ALLSTATE FINANCIAL SERVICES, LLC OF DELAWARE | ALLSTATE FINANCIAL SERVICES, LLC D/B/A LSA SECURITIES

CRD#: 18272 / SEC#: , 8-36365

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
151 N 8th Street, Suite 450, Lincoln, NE 68508-1380
Mailing Address
Po Box 83271, Lincoln, NE 68501-3271
Phone number
(877) 232-2142
Established
Delaware since 11/01/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALLSTATE INSURANCE COMPANYOWNER
BOUDREAU, JOHN DOUGLASCHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE6357880
DELANEY, SCOTT SULLIVANPRESIDENT AND CHIEF EXECUTIVE OFFICER2978681
LANSPA, PAUL DONALDCHIEF OPERATING OFFICER6449159
MUELLER, DAVID JOHNGENERAL COUNSEL AND SECRETARY7807045
NELSON, MARY KRISCHAIRMAN OF THE BOARD2464654
SWEENEY, MICHAEL DANIELAML OFFICER2026113
WHITCOMB, MICHAEL JAMESFINOP7495756

Disclosures

Regulatory Event4
Arbitration1

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 SERVICES, LLC

CRD#: 18272Newark, DE 19711-5703

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