Gregory F. Broadbridge
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.
Gregory Foeckler Broadbridge, who also goes by Greg Broadbridge, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1979. Gregory had worked at 11 firms and has passed the 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
September 23, 2020 - March 14, 2022
ALLSTATE FINANCIAL SERVICES, LLC
January 2, 2018 - December 31, 2018
BB&T SECURITIES, LLC
January 2, 2018 - December 31, 2018
BB&T SECURITIES, LLC
January 27, 2009 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
January 26, 2009 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
October 15, 2007 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
October 15, 2007 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
October 10, 2002 - December 31, 2006
AMSOUTH INVESTMENT SERVICES, INC.
April 15, 1999 - September 10, 1999
FSC SECURITIES CORPORATION
December 3, 1992 - September 12, 2002
INVEST FINANCIAL CORPORATION
April 20, 1989 - December 5, 1992
CAPITAL BROKERAGE CORPORATION
April 16, 1987 - March 2, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
June 4, 1979 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
June 4, 1979 - April 28, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
June 4, 1979 - May 11, 1987
IDS LIFE INSURANCE 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
Exams
Series 1
Date: 5/29/1979
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.
