Alfred Kulig
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.
Alfred Kulig JR, who also goes by Al Kulig, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1979. Alfred had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3, Series 5, Series 7, Series 53, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2001 - April 3, 2018
ALLSTATE FINANCIAL SERVICES, LLC
May 1, 1998 - December 11, 2000
UBS FINANCIAL SERVICES INC.
August 24, 1994 - May 7, 1998
PRUDENTIAL EQUITY GROUP, LLC
March 1, 1979 - September 8, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 15
Date: 12/3/1986
Foreign Currency Options ExaminationSeries 5
Date: 10/26/1981
Interest Rate Options ExaminationSeries 12
Date: 11/15/1980
NYSE Branch Manager 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
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