Bruce A. Matthews
Professional summary
Bruce Allen Matthews, who also goes by Bruce A Matthews, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Scottsdale, Arizona.
Bruce is registered as a RR (Registered Representative) and started their career in finance in 1978. Bruce has worked at 7 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Bruce Allen Matthews's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 16, 2003 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 8787 E Pinnacle Peak Rd Ste 120, Scottsdale, AZ 85255-3557May 15, 2002 - May 9, 2003
OSAIC FS, INC.
March 15, 2002 - May 9, 2003
OSAIC FS, INC.
September 6, 2001 - December 31, 2001
WALNUT STREET SECURITIES, INC.
August 24, 1990 - September 4, 2001
PRINCIPAL SECURITIES, INC.
October 24, 1985 - April 5, 1990
EQUITY SERVICES, INC.
June 14, 1984 - January 23, 1986
MONY SECURITIES CORPORATION
August 29, 1978 - November 18, 1983
1717 CAPITAL MANAGEMENT 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
(4/16/2003)
(1/12/2009)
(3/28/2024)
(8/15/2024)
(3/18/2025)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 8/21/1978
Registered Representative ExaminationFINRA
Current 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
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