Michael H. Whims
Professional summary
Michael Howard Whims was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial advisor and started their career in finance in 1974. Prior to being barred, Michael had worked at 8 firms, which includes ALLSTATE FINANCIAL SERVICES LLC, VALIC FINANCIAL ADVISORS INC., CIBC WORLD MARKETS CORP., CRALIN & CO. INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, WHITE WELD & CO. INCORPORATED, BACHE HALSEY STUART INC., MERRILL LYNCH PIERCE FENNER & SMITH INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2003 - August 26, 2005
ALLSTATE FINANCIAL SERVICES, LLC
May 13, 2002 - April 10, 2003
VALIC FINANCIAL ADVISORS, INC.
January 17, 2002 - April 10, 2003
VALIC FINANCIAL ADVISORS, INC.
July 3, 1984 - December 16, 1985
CIBC WORLD MARKETS CORP.
April 16, 1982 - June 29, 1984
CRALIN & CO., INC.
September 26, 1978 - September 7, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 26, 1977 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
June 1, 1976 - April 2, 1977
BACHE HALSEY STUART INC.
January 28, 1974 - July 12, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 1
Date: 1/23/1974
Registered Representative ExaminationCurrent 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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