John K. Haas
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.
John Kenneth Haas was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1979. John had worked at 6 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2022 - September 26, 2023
ALLSTATE FINANCIAL SERVICES, LLC
December 19, 2018 - December 31, 2021
ALLSTATE FINANCIAL SERVICES, LLC
March 31, 2004 - August 30, 2013
ALLSTATE FINANCIAL SERVICES, LLC
September 10, 1998 - March 26, 2004
NEW ENGLAND SECURITIES
September 24, 1997 - August 6, 1998
KESTRA INVESTMENT SERVICES, LLC
August 11, 1993 - September 30, 1997
WOODBURY FINANCIAL SERVICES, INC.
July 1, 1992 - July 12, 1993
NEW ENGLAND SECURITIES
May 15, 1989 - March 7, 1992
NEW ENGLAND SECURITIES
March 28, 1983 - May 24, 1989
TOWER SQUARE SECURITIES, INC.
December 17, 1979 - August 30, 1983
HORNOR, TOWNSEND & KENT, LLC
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 6TO
Date: 12/19/2018
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 12/10/1979
Registered Representative ExaminationCurrent 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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