Brian E. Hartley
Professional summary
Brian Edward Hartley is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Hewitt, Texas.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2002. Brian has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Edward Hartley's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 7, 2005 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 227 N Hewitt Dr, Hewitt, TX 76643-3045September 2, 2005 - November 10, 2005
FIRST COMMAND BROKERAGE SERVICES, INC.
August 29, 2005 - September 2, 2005
FIRST COMMAND BANK
April 12, 2002 - November 10, 2005
FIRST COMMAND BROKERAGE SERVICES, 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
(12/7/2005)
Exams
FINRA
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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