Raul Rodriguez
Professional summary
Raul Rodriguez, who also goes by Raul Zavala Rodriguez, Raul Rodriguez, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Fontana, California.
Raul is registered as a RR (Registered Representative) and started their career in finance in 2008. Raul has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Raul Rodriguez's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 14, 2024 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 7950 Cherry Ave Ste 110, Fontana, CA 92336-4023March 13, 2020 - June 13, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
October 1, 2012 - July 10, 2019
J.P. MORGAN SECURITIES LLC
March 10, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 10, 2008 - November 4, 2009
NATIONAL PLANNING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/14/2024)
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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