Elmer Kassay
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.
Elmer Kassay, who also goes by Elmer Kassay Jr, was a registered financial professional .
Elmer is a previously registered financial professional and started their career in finance in 1976. Elmer had worked at 13 firms and has passed the Series 63, 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
March 26, 2012 - December 18, 2013
ALLSTATE FINANCIAL SERVICES, LLC
May 11, 2009 - November 7, 2011
MSI FINANCIAL SERVICES, INC.
April 4, 2005 - April 20, 2009
WRP INVESTMENTS, INC.
April 1, 2005 - April 20, 2009
WRP INVESTMENTS, INC.
January 1, 2000 - April 5, 2005
OSAIC FA, INC.
November 9, 1992 - April 5, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 9, 1992 - April 5, 2005
OSAIC FA, INC.
May 14, 1991 - November 19, 1992
WOODBURY FINANCIAL SERVICES, INC.
May 31, 1985 - November 10, 1992
BUTLER, WICK & CO., INC.
September 3, 1982 - May 30, 1985
CADARET, GRANT & CO., INC.
October 30, 1979 - December 8, 1982
INDEPENDENT FINANCIAL PLANNERS CORPORATION
October 12, 1978 - November 29, 1979
WESTFIELD SECURITIES COMPANY
January 2, 1976 - November 28, 1978
AMERICAN EXPRESS FINANCIAL CORPORATION
January 2, 1976 - November 28, 1978
AMERIPRISE FINANCIAL SERVICES, LLC
January 2, 1976 - November 28, 1978
IDS 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: 12/22/1975
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.
