Howard S. Wacks

ALLSTATE FINANCIAL ADVISORS

Boca Raton, FL 33487-2802

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CRD#: 832422

Professional summary

Howard Sy Wacks, who also goes by Howard S Wacks, is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Boca Raton, Florida and ALLSTATE FINANCIAL SERVICES, LLC located in Boca Raton, Florida.

Howard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Howard has worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 1, Series 24 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Howard S Wacks

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Howard Wacks, 11315 Roundeley Rd, Cooper City FL 33026, Insurance Agent, non investment related, time devoted-5%, duties-service existing policies for clients, start dt 09/01/76-11/01/15 and will restart 06/30/17-Present, hrs per mo-10, during trading hrs-0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Howard Sy Wacks's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 11, 2017 - Present

ALLSTATE FINANCIAL ADVISORS, LLC

Office #1: 941 Clint Moore Rd, Boca Raton, FL 33487-2802

RIA

CRD#: 109524

Boca Raton, FL

Current

June 22, 2017 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 941 Clint Moore Rd, Boca Raton, FL 33487-2802

CRD#: 18272

Boca Raton, FL

Past

August 12, 2014 - August 13, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

PLANTATION, FL

Past

August 8, 2014 - August 13, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

PLANTATION, FL

Past

May 23, 2005 - August 15, 2014

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

FT. LAUDERDALE, FL

Past

March 8, 2005 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

FORT LAUDERDALE, FL

Past

March 8, 2005 - August 15, 2014

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

FT. LAUDERDALE, FL

Past

January 21, 1993 - March 22, 2005

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

FT. LAUDERDALE, FL

Past

January 18, 1993 - March 22, 2005

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

May 19, 1992 - December 31, 1992

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

September 13, 1989 - December 31, 1990

LINCOLN INVESTMENT

CRD#: 519

FORT WASHINGTON, PA

Past

April 19, 1988 - May 19, 1992

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

June 23, 1986 - April 26, 1988

EASTER KRAMER GROUP SECURITIES, INC.

CRD#: 15318

Past

September 24, 1984 - December 5, 1988

WACKS & CO., INC.

CRD#: 15525

Past

January 25, 1984 - November 16, 1984

CVR FINANCIAL CORPORATION OF AMERICA, INC.

CRD#: 2984

Past

January 17, 1977 - December 4, 1977

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(2/8/2024)

Florida
(7/11/2017)

IAR

Florida
(7/11/2017)

New York
(6/22/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/3/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 10/6/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 1

Date: 1/8/1977

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/11/1986

General Securities Principal Examination

Principal/Supervisory Exam

Series 39

Date: 7/23/1984

Direct Participation Programs Principal Examination

SRO Registrations

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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.

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Advisor Monitoring

Firm Stability Insights

Howard S. Wacks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Howard Sy Wacks's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

SUNAMERICA SECURITIES, INC.

LINCOLN INVESTMENT

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

EASTER KRAMER GROUP SECURITIES, INC.

WACKS & CO., INC.

CVR FINANCIAL CORPORATION OF AMERICA, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/3/1987

SIE

Date: 10/1/2018

Series 7

Date: 10/19/1985

Series 22

Date: 10/6/1983

Series 1

Date: 1/8/1977

Series 24

Date: 12/11/1986

Series 39

Date: 7/23/1984

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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