Richard D. Koeth
Professional summary
Richard Donald Koeth, who also goes by Richard Koeth, Rick Koeth, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Mentor On The Lake, Ohio.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1979. Richard has worked at 4 firms and has passed the Series 63, Series 6TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Donald Koeth's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 8, 2009 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 5979 Andrews Rd, Mentor On The Lake, OH 44060-2819October 8, 2003 - June 19, 2009
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 20, 1980 - August 14, 2003
EQUITABLE ADVISORS, LLC
February 23, 1979 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/8/2009)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 2/10/1979
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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Company Information
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272Mentor On The Lake, OH 44060-2819TRUST BUT VERIFY
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