Richard S. Weller
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.
Richard Summers Weller, who also goes by Dick Weller, Richard S Weller, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1975. Richard had worked at 14 firms and has passed the Series 63 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
October 19, 2010 - February 15, 2012
ALLSTATE FINANCIAL SERVICES, LLC
September 19, 2008 - October 1, 2010
MML INVESTORS SERVICES, LLC
April 19, 2005 - September 22, 2008
NYLIFE DISTRIBUTORS LLC
September 15, 2000 - May 6, 2005
NYLIFE SECURITIES LLC
January 31, 2000 - June 30, 2000
INVESTMENT PROFESSIONALS, INC.
June 7, 1999 - January 19, 2000
INVEST FINANCIAL CORPORATION
August 5, 1998 - December 31, 1998
CONSECO SECURITIES, INC.
April 14, 1997 - August 5, 1998
CONSECO FINANCIAL SERVICES, INC.
May 3, 1996 - April 14, 1997
CONSECO EQUITY SALES, INC.
May 6, 1987 - December 31, 1995
AMERICAN GENERAL SECURITIES INCORPORATED
November 18, 1983 - February 3, 1987
OSAIC FA, INC.
November 23, 1982 - November 29, 1983
RELIASTAR FINANCIAL MARKETING CORP.
June 30, 1976 - January 6, 1984
PRINCIPAL SECURITIES, INC.
October 6, 1975 - November 15, 1975
OSAIC FA, INC.
October 6, 1975 - December 17, 1975
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
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 1
Date: 9/30/1975
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
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.
