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DZ

David M. Zane

Some features on this profile are disabled
CRD#: 5328291
DZ

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.

David M Zane, who also goes by David Michael Zane, David Zane, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2007. David had worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Michael Zane | David Zane

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

February 10, 2025 - February 17, 2026

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
Hockessin, DE
Past

December 2, 2024 - February 17, 2026

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
Hockessin, DE
Past

April 19, 2023 - June 4, 2024

SB ADVISORY, LLC

RIA
CRD#: 154680
NEW CASTLE, DE
Past

July 29, 2011 - March 1, 2023

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
NORTH EAST, MD
Past

July 29, 2011 - March 1, 2023

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
NORTH EAST, MD
Past

April 17, 2008 - July 13, 2011

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
PHILADELPHIA, PA
Past

April 17, 2008 - July 13, 2011

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
PHILADELPHIA, PA
Past

November 19, 2007 - May 5, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
WILMINGTON, DE
Past

September 29, 2007 - May 5, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
WILMINGTON, DE

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: 10/18/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 11/9/2007
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/27/2007
General Securities Representative 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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