Gayle W. Gruchow
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.
Gayle Ward Gruchow, who also goes by Gayle Ward Behrens, Gayle W Gruchow, Gayle Ward Gruchow Ms, was a registered financial professional .
Gayle is a previously registered financial professional and started their career in finance in 2002. Gayle had worked at 11 firms and has passed the Series 66, 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
June 24, 2015 - May 11, 2016
ALLSTATE FINANCIAL SERVICES, LLC
June 23, 2015 - May 11, 2016
ALLSTATE FINANCIAL ADVISORS, LLC
January 28, 2014 - June 25, 2015
EQUITABLE ADVISORS, LLC
January 14, 2014 - June 25, 2015
EQUITABLE ADVISORS, LLC
January 5, 2012 - December 2, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 5, 2012 - December 2, 2013
WELLS FARGO CLEARING SERVICES, LLC
October 17, 2011 - December 16, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 17, 2011 - December 16, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 21, 2010 - May 13, 2011
TRUIST INVESTMENT SERVICES, INC.
July 21, 2010 - May 13, 2011
TRUIST INVESTMENT SERVICES, INC.
June 1, 2008 - December 31, 2008
OSAIC INSTITUTIONS, INC.
June 1, 2008 - December 31, 2008
OSAIC INSTITUTIONS, INC.
March 12, 2008 - June 1, 2008
BI INVESTMENTS, LLC
March 12, 2008 - June 1, 2008
BI INVESTMENTS, LLC
January 23, 2007 - March 11, 2008
BB&T INVESTMENT SERVICES, INC.
January 23, 2007 - March 11, 2008
BB&T INVESTMENT SERVICES, INC.
October 16, 2003 - January 4, 2007
CUSO FINANCIAL SERVICES, L.P.
October 16, 2003 - January 4, 2007
CUSO FINANCIAL SERVICES, L.P.
November 28, 2002 - October 15, 2003
UBS FINANCIAL SERVICES INC.
November 8, 2002 - October 15, 2003
UBS FINANCIAL 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
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
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.
