Robert A. Faraone
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.
Robert Andrew Faraone, who also goes by Bob Faraone, Robert Andrew Faraone, Robert Faraone, Robert A Farraone, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1976. Robert had worked at 11 firms and has passed the Series 63, SIE, Series 6, Series 7, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2020 - June 22, 2021
ALLSTATE FINANCIAL SERVICES, LLC
August 27, 2018 - December 12, 2018
EQUITABLE ADVISORS, LLC
May 25, 2005 - November 6, 2009
SUNSET FINANCIAL SERVICES, INC.
July 10, 2003 - June 1, 2005
1717 CAPITAL MANAGEMENT COMPANY
November 15, 2000 - January 15, 2003
PRINCIPAL SECURITIES, INC.
August 6, 1998 - November 8, 2000
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 12, 1995 - March 31, 1998
MML INVESTORS SERVICES, LLC
August 25, 1994 - April 13, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 19, 1982 - December 14, 1983
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 19, 1979 - August 20, 1982
INTEGRATED RESOURCES EQUITY CORPORATION
February 17, 1976 - August 24, 1979
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 17, 1976 - April 13, 1995
OSAIC FA, 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
Series 1
Date: 2/2/1976
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.
