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AA

Alexander F. Amory

Some features on this profile are disabled
CRD#: 5014517
AA

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.

Alexander Forbes Amory, who also goes by Alex Amory, Alexander F Amory, Alexander Amory, was a registered financial professional .

Alexander is a previously registered financial professional and started their career in finance in 2005. Alexander had worked at 6 firms and has passed the Series 66, Series 6TO, SIE, Series 31, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alex Amory | Alexander F Amory | Alexander Amory

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 14, 2019 - September 29, 2022

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
Sherwood, AR
Past

August 14, 2019 - September 29, 2022

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
Sherwood, AR
Past

October 4, 2018 - March 8, 2019

EDWARD JONES

RIA
CRD#: 250
FORT SMITH, AR
Past

August 17, 2018 - March 8, 2019

EDWARD JONES

BD
CRD#: 250
FORT SMITH, AR
Past

February 14, 2014 - July 12, 2018

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
PEARL, MS
Past

April 3, 2008 - December 31, 2013

EVERLAKE DISTRIBUTORS, LLC

BD
CRD#: 100460
NORTHBROOK, IL
Past

August 22, 2006 - March 31, 2008

ASSOCIATED INVESTMENT SERVICES, INC.

BD
CRD#: 1464
PEORIA, IL
Past

October 14, 2005 - August 22, 2006

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
PEORIA, IL
Past

September 29, 2005 - August 22, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PEORIA, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/4/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 10/21/2005
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/28/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 7/2/2014
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/2/2014
General Securities Principal Examination

Current Firm

AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 Approved)
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Contact information

Main Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Mailing Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Phone number
(877) 232-2142
Established
Firm type
Fiscal year end
# of Employees
337

SEC notice filing (49 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts280
AUM (Assets Under Management)$ 82,015,793

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 ADVISORS, LLC

CRD#: 109524

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