Tommy J. Howard
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.
Tommy Jack Howard, who also goes by Tom Howard, was a registered financial professional .
Tommy is a previously registered financial professional and started their career in finance in 1979. Tommy had worked at 8 firms and has passed the Series 63, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2012 - August 1, 2013
ALLSTATE FINANCIAL SERVICES, LLC
September 23, 2011 - March 1, 2012
VALIC FINANCIAL ADVISORS, INC.
January 1, 2009 - June 29, 2011
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
October 27, 2000 - January 1, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
March 12, 1999 - September 12, 2000
VALIC FINANCIAL ADVISORS, INC.
February 26, 1999 - September 12, 2000
THE VARIABLE ANNUITY MARKETING COMPANY
July 22, 1996 - March 5, 1999
MISSIONSQUARE INVESTMENT SERVICES
March 6, 1993 - April 4, 1996
DETWILER FENTON WEALTH MANAGEMENT INC
July 10, 1979 - February 23, 1993
METLIFE INVESTORS DISTRIBUTION 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: 7/3/1979
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.
