Lester Kerman
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.
Lester Kerman, who also goes by Lester Jonathon Kerman, was a registered financial professional .
Lester is a previously registered financial professional and started their career in finance in 2009. Lester had worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2019 - November 24, 2020
ALLSTATE FINANCIAL ADVISORS, LLC
December 5, 2018 - November 24, 2020
ALLSTATE FINANCIAL SERVICES, LLC
January 28, 2015 - November 28, 2017
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - November 28, 2017
CAPITAL ONE INVESTING, LLC
March 27, 2014 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
March 26, 2014 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
July 2, 2013 - March 25, 2014
MSI FINANCIAL SERVICES, INC.
October 24, 2011 - July 1, 2013
WELLS FARGO CLEARING SERVICES, LLC
September 19, 2011 - July 1, 2013
WELLS FARGO CLEARING SERVICES, LLC
July 10, 2009 - September 23, 2011
DAVID LERNER ASSOCIATES, INC.
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 12/1/2022
General Securities Representative ExaminationCurrent Firm
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| 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.
