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RG

Ronald Grumley

ALLSTATE FINANCIAL SERVICES
Wauwatosa, WI 53213-3356
Some features on this profile are disabled
CRD#: 4944678
RG

Professional summary

Ronald Grumley, who also goes by Ron Grumley, Ronald S Grumley, Ronald Scott Grumley, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Wauwatosa, Wisconsin.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 2005. Ronald has worked at 3 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 31, Series 7, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ron Grumley | Ronald S Grumley | Ronald Scott Grumley

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 Ronald Grumley'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

October 28, 2020 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 8112 W Bluemound Rd Ste 104, Wauwatosa, WI 53213-3356
BD
CRD#: 18272
Wauwatosa, WI
Past

December 17, 2012 - November 12, 2013

WADDELL & REED

RIA
CRD#: 866
WAUKESHA, WI
Past

December 14, 2012 - November 12, 2013

WADDELL & REED

BD
CRD#: 866
WAUKESHA, WI
Past

July 8, 2005 - December 17, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
MILWAUKEE, WI
Past

June 20, 2005 - December 17, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
MILWAUKEE, WI

State Registrations and Notice Filings

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

RR
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

RR
Wisconsin
(11/20/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 11/20/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 7/7/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 10/28/2020
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/29/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 7/16/2010
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 5/20/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/12/2010
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/2/2009
General Securities Sales Supervisor - General Module Examination
SRO Registrations
RR
FINRA

Current Firm

AF
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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALLSTATE INSURANCE COMPANYOWNER
BOUDREAU, JOHN DOUGLASCHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE6357880
DELANEY, SCOTT SULLIVANPRESIDENT AND CHIEF EXECUTIVE OFFICER2978681
LANSPA, PAUL DONALDCHIEF OPERATING OFFICER6449159
MUELLER, DAVID JOHNGENERAL COUNSEL AND SECRETARY7807045
NELSON, MARY KRISCHAIRMAN OF THE BOARD2464654
SWEENEY, MICHAEL DANIELAML OFFICER2026113
WHITCOMB, MICHAEL JAMESFINOP7495756

Disclosures

Regulatory Event4
Arbitration1

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.

Company Information

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272Wauwatosa, WI 53213-3356

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