Frank J. Richard
Professional summary
Frank J Richard, who also goes by Richard Joseph Frank Jr., Richard Frank, Frank Joseph Richard Jr, Frank Joseph Richard Jr., Frank Joseph Richard, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Renton, Washington.
Frank is registered as a RR (Registered Representative) and started their career in finance in 2003. Frank has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frank J Richard's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 2, 2017 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 4004 Ne 4th St, Ste104, Renton, WA 98056-4102November 5, 2015 - December 6, 2016
KEY INVESTMENT SERVICES LLC
October 25, 2013 - February 18, 2015
ALLSTATE FINANCIAL ADVISORS, LLC
October 22, 2013 - February 18, 2015
ALLSTATE FINANCIAL SERVICES, LLC
August 27, 2010 - June 21, 2012
INVEST FINANCIAL CORPORATION
August 27, 2010 - June 21, 2012
INVEST FINANCIAL CORPORATION
January 5, 2007 - June 29, 2010
SWBC INVESTMENT COMPANY
January 3, 2007 - June 29, 2010
SWBC INVESTMENT SERVICES, LLC
January 12, 2006 - December 31, 2006
CETERA WEALTH SERVICES, LLC
December 7, 2004 - December 31, 2006
CETERA WEALTH SERVICES, LLC
October 4, 2004 - November 23, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 28, 2003 - June 11, 2004
WELLS FARGO CLEARING 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
(4/19/2024)
(5/1/2024)
(3/8/2019)
(4/19/2024)
(11/7/2017)
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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