Kim L. Egan
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.
Kim Lysandra Egan, who also goes by Kim L Egan, Kim Lysandra Rodriguez, Kim Lysandra Van Ness, was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 2004. Kim had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2012 - December 21, 2016
ALLSTATE FINANCIAL SERVICES, LLC
September 22, 2009 - April 22, 2010
FIRST COMMAND BROKERAGE SERVICES, INC.
September 16, 2009 - April 22, 2010
FIRST COMMAND BROKERAGE SERVICES, INC.
August 2, 2007 - February 5, 2009
EAGLE STRATEGIES LLC
April 17, 2007 - February 5, 2009
NYLIFE SECURITIES LLC
September 2, 2005 - March 20, 2007
FIRST COMMAND BROKERAGE SERVICES, INC.
January 7, 2005 - September 2, 2005
FIRST COMMAND BANK
January 1, 2004 - March 20, 2007
FIRST COMMAND BROKERAGE 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.
