Kathy A. Baron
Professional summary
Kathy Ann Baron, who also goes by Kathy A Baron, Kathy Blaskovic, Kathy Frankola, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Roslyn, New York.
Kathy is registered as a RR (Registered Representative) and started their career in finance in 2008. Kathy has worked at 3 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 Kathy Ann Baron's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 18, 2015 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 26 Middleneck Rd Ste 1p, Roslyn, NY 11576-1336June 30, 2014 - September 3, 2014
STATE FARM VP MANAGEMENT CORP.
October 30, 2008 - March 4, 2011
CHASE INVESTMENT SERVICES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/18/2015)
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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