Michael J. Garofalo
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.
Michael Joseph Garofalo, who also goes by Michael J Garofalo, Michael Garofalo, Mike Garofalo, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 11 firms and has passed the Series 63, 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
August 24, 2010 - July 1, 2024
ALLSTATE FINANCIAL SERVICES, LLC
April 1, 2009 - August 2, 2010
TRANSAMERICA CAPITAL, LLC
October 8, 1997 - December 31, 2008
EQUITABLE DISTRIBUTORS, LLC
July 10, 1995 - February 14, 1997
CAPITAL BROKERAGE CORPORATION
February 1, 1995 - May 3, 1995
DWS DISTRIBUTORS, INC.
February 22, 1994 - February 1, 1995
KEMPER FINANCIAL SERVICES, INC.
February 6, 1991 - April 23, 1993
ASTRA FUND DISTRIBUTORS CORP.
February 20, 1990 - January 3, 1991
ROYAL HUTTON SECURITIES CORP.
November 6, 1987 - February 13, 1990
INVEST FINANCIAL CORPORATION
February 2, 1987 - September 21, 1987
SHERWOOD CAPITAL, INC.
August 17, 1981 - January 31, 1987
FIRST JERSEY SECURITIES, INC.
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
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
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.
