SAMUEL DAVID WOLLERSHEIM

SAMUEL DAVID WOLLERSHEIM is currently employed as a Broker and/or Investment Adviser at ALLSTATE FINANCIAL SERVICES, LLC located at 5733 WINDY DR, STEVENS POINT, WI, 54482-8483.

SAMUEL DAVID WOLLERSHEIM has worked at ALLSTATE FINANCIAL SERVICES, LLC since August 05, 2013

Disclosure History

SAMUEL DAVID WOLLERSHEIM has 1 Disclosure Event(s).

Date: August 29, 2014
Category: Regulatory
Initiated By: STATE OF MISSOURI DEPARTMENT OF INSURANCE, FINANCIAL INSTITUTIONS AND PROFESSIONAL REGISTRATION
Allegations: FAILURE TO DISCLOSE SUSPENSION FROM THE ARKANSAS DEPARTMENT OF INSURANCE. RR WAS UNAWARE OF ANY SUSPENSION AND DID NOT RECALL RECEIVING ANYTHING REGARDING THIS SUSPENSION WHEN HE COMPLETED HIS INSURANCE LICENSE APPLICATION FOR THE STATE OF MISSOURI.
Resolution: VOLUNTARY FORFEITURE AGREEMENT SanctionDetails:
Sanctions: Monetary Penalty other than Fines SanctionDetails:
Amount: $250.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for SAMUEL DAVID WOLLERSHEIM, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.