Patrick D. Kraal

ALLSTATE FINANCIAL SERVICES

Fishkill, NY 12524-3501

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CRD#: 4689453

Professional summary

Patrick Donald Kraal is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Fishkill, New York.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 2003. Patrick has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Patrick Donald Kraal'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 7, 2020 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 1012 Main St Ste C, Fishkill, NY 12524-3501

CRD#: 18272

Fishkill, NY

Past

July 1, 2016 - November 8, 2018

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

NEW YORK, NY

Past

July 1, 2016 - November 8, 2018

OSAIC INSTITUTIONS, INC.

CRD#: 35371

NEW YORK, NY

Past

September 17, 2013 - July 1, 2016

ESSEX NATIONAL SECURITIES, LLC

RIA

CRD#: 25454

NEW YORK, NY

Past

September 16, 2013 - July 1, 2016

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NEW YORK, NY

Past

October 5, 2012 - February 6, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

NEW YORK, NY

Past

October 5, 2012 - February 6, 2013

LPL FINANCIAL LLC

CRD#: 6413

NEW YORK, NY

Past

July 23, 2010 - June 20, 2012

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

NEW YORK, NY

Past

July 23, 2010 - June 20, 2012

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

March 14, 2006 - July 14, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

NEW YORK, NY

Past

February 22, 2006 - July 14, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

September 2, 2004 - June 22, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NEW YORK , NY

Past

September 2, 2004 - June 22, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

February 24, 2004 - August 9, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 26, 2004 - February 10, 2004

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

August 1, 2003 - January 20, 2004

EASTBROOK CAPITAL GROUP LLC

CRD#: 39781

NEW YORK, NY

State Registrations and Notice Filings

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

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

New Jersey
(5/8/2024)

New York
(4/7/2020)

Exams

State Security Law Exam

IAR

Series 65

Date: 4/30/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/30/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/8/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/31/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Patrick D. Kraal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patrick Donald Kraal's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

ESSEX NATIONAL SECURITIES, LLC

ESSEX NATIONAL SECURITIES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY DW INC.

GUNNALLEN FINANCIAL, INC

EASTBROOK CAPITAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/30/2004

Series 63

Date: 1/30/2004

SIE

Date: 10/1/2018

Series 31

Date: 4/8/2004

Series 7

Date: 7/31/2003

FINRA

Current Firm

ALLSTATE FINANCIAL SERVICES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALLSTATE FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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