Eric L. Smith
Professional summary
Eric L Smith, who also goes by Eric L Smith, Eric Smith, Eric Llewellyn Smith, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Lubbock, Texas.
Eric is registered as a RR (Registered Representative) and started their career in finance in 2012. Eric has worked at 4 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 Eric L Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 6, 2020 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 5409 4th St Unit F, Lubbock, TX 79416-4358August 28, 2018 - September 18, 2020
J.P. MORGAN SECURITIES LLC
July 28, 2017 - August 3, 2018
BBVA SECURITIES INC.
October 1, 2012 - June 29, 2017
J.P. MORGAN SECURITIES LLC
August 21, 2012 - October 1, 2012
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
(4/13/2021)
(12/15/2022)
(11/6/2020)
(2/26/2025)
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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