Abraham J. Kaltsas
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.
Abraham James Kaltsas, who also goes by Abe Kaltsas, Abraham Kaltsas, was a registered financial professional .
Abraham is a previously registered financial professional and started their career in finance in 1978. Abraham had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2016 - March 30, 2020
ALLSTATE FINANCIAL SERVICES, LLC
August 21, 2015 - February 24, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
May 5, 2015 - February 24, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
October 19, 2012 - May 11, 2015
SIGNATOR INVESTORS, INC.
April 24, 2007 - October 31, 2012
PARK AVENUE SECURITIES LLC
November 27, 2006 - April 9, 2007
MML INVESTORS SERVICES, LLC
April 19, 1995 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 19, 1995 - November 28, 2006
SIGNATOR INVESTORS, INC.
March 15, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 15, 1991 - March 16, 1995
PRUCO SECURITIES, LLC.
June 28, 1984 - February 19, 1991
WS GRIFFITH SECURITIES, INC.
June 28, 1984 - February 19, 1991
HOME LIFE INSURANCE COMPANY
October 31, 1979 - April 17, 1984
INVESTORS PLANNING SERVICES, CORP.
August 29, 1978 - October 4, 1979
FORESTERS FINANCIAL SERVICES, 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: 8/18/1978
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.
