Rick D. Lindsey
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.
Rick Dannell Lindsey, who also goes by Rick D Lindsey, was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 2003. Rick had worked at 11 firms and has passed the Series 66, SIE, Series 6 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
February 26, 2013 - April 12, 2016
ALLSTATE FINANCIAL SERVICES, LLC
January 23, 2013 - April 12, 2016
ALLSTATE FINANCIAL ADVISORS, LLC
June 24, 2010 - November 1, 2011
BROOKSTONE CAPITAL MANAGEMENT LLC
December 9, 2008 - June 3, 2010
INTEGRITY ALLIANCE, LLC.
July 25, 2008 - November 17, 2008
INTEGRITY ALLIANCE, LLC.
July 21, 2008 - July 28, 2009
INTEGRITY ALLIANCE, LLC.
June 8, 2007 - December 14, 2007
CALLAWAY FINANCIAL SERVICES
April 18, 2007 - December 14, 2007
BOURNEHILL INVESTMENT SERVICES, INC.
July 10, 2006 - April 16, 2007
WELLS FARGO CLEARING SERVICES, LLC
June 16, 2006 - April 16, 2007
WELLS FARGO CLEARING SERVICES, LLC
June 24, 2003 - November 8, 2005
MSI FINANCIAL SERVICES, INC.
June 23, 2003 - November 8, 2005
METROPOLITAN LIFE INSURANCE COMPANY
June 23, 2003 - November 8, 2005
MSI FINANCIAL SERVICES, INC.
April 25, 2003 - June 25, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
April 24, 2003 - June 25, 2003
IDS LIFE INSURANCE COMPANY
April 24, 2003 - June 25, 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
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.
