ALLSTATE FINANCIAL SERVICES, LLC

1 BrokerCheck ReportALLSTATE FINANCIAL services , LLCS ection TitleReport SummaryFirm HistoryCRD# 1827217 Firm Profile2 - 6 Page(s)Firm Operations8 - 14 Disclosure Events15 Please be aware that fraudsters may link to BrokerCheck from phishing and similar scam websites, trying to steal your personal information or your sure you know who you re dealing with when investing, and contact FINRA with any more information read ourinvestor alerton BrokerCheck BrokerCheck offers information on all current, and many former, registered securities brokers, and all current and formerregistered securities firms. FINRA strongly encourages investors to use BrokerCheck to check the background ofsecurities brokers and brokerage firms before deciding to conduct, or continue to conduct, business with them. What is included in a BrokerCheck report? BrokerCheck reports for individual brokers include information such as employment history, professionalqualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards.

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4 FINRA recommends that you learn as much as possible about an investment professional beforedeciding to work with them. Your state securities regulator can help you research brokers and investment adviserrepresentatives doing business in your state. Thank you for using FINRA more information aboutFINRA, visit this site/information meansthat you accept the FINRAB rokerCheck Terms andConditions. A complete list ofTerms and Conditions can befound atFor additional information aboutthe contents of this report, pleaserefer to the User Guidance Itprovides a glossary of terms and alist of frequently asked questions,as well as additional FINANCIAL SERVICES, LLCCRD# 18272 SEC# 8-36365 Main Office Location2920 S 84TH STREETLINCOLN, NE 68506 Regulated by FINRA Kansas City OfficeMailing AddressPO BOX 83271 LINCOLN, NE 68501-3271 Business Telephone Number877-232-2142 Report Summary for this FirmThis report summary provides an overview of the brokerage firm.

5 Additional information for this firm can be foundin the detailed EventsBrokerage firms are required to disclose certaincriminal matters, regulatory actions, civil judicialproceedings and FINANCIAL matters in which the firm orone of its control affiliates has been there events disclosed about this firm?YesThe following types of disclosures have beenreported:TypeCountRegulatory Event3 Arbitration1 Firm ProfileThis firm is classified as a limited liability firm was formed in Delaware on 11/01 fiscal year ends in HistoryInformation relating to the brokerage firm's historysuch as other business names and successions( , mergers, acquisitions) can be found in thedetailed OperationsIs this brokerage firm currently suspended with anyregulator?NoThis firm conducts 7 types of firm is affiliated with FINANCIAL or firm does not have referral or financialarrangements with other brokers or firm is registered with: the SEC 1 Self-Regulatory Organization 51 states and Guidance1 2022 FINRA.

6 All rights reserved. Report about ALLSTATE FINANCIAL services , GuidanceThis firm is classified as a limited liability firm was formed in Delaware on 11/01 #This section provides the brokerage firm's full legal name, "Doing Business As" name, business and mailingaddresses, telephone number, and any alternate name by which the firm conducts business and where such name ProfileFirm Names and LocationsIts fiscal year ends in FINANCIAL services , LLCSEC#182728-36365 Main Office LocationMailing AddressBusiness Telephone NumberDoing business as ALLSTATE FINANCIAL services , LLC877-232-2142 Regulated by FINRA Kansas City Office2920 S 84TH STREETLINCOLN, NE 68506PO BOX 83271 LINCOLN, NE 68501-3271 Other Names of this FirmNameWhere is it usedALLSTATE FINANCIAL services , LLC D/B/A LSA SECURITIESPAALLSTATE FINANCIAL services , LLC OF DELAWARELA2 2022 FINRA. All rights reserved. Report about ALLSTATE FINANCIAL services , GuidanceThis section provides information relating to all direct owners and executive officers of the brokerage Owners and Executive OfficersFirm ProfilePositionPercentage of OwnershipIs this a public reportingcompany?

7 Position Start DateDoes this owner direct themanagement or policies ofthe firm? ALLSTATE INSURANCE COMPANYOWNER75% or moreNoDomestic Entity01/2003 YesIs this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):PositionPercentage of OwnershipIs this a public reportingcompany?Position Start DateDoes this owner direct themanagement or policies ofthe firm?BOUDREAU, JOHN DOUGLASCHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVEREPRESENTATIVELess than 5%NoIndividual07/2014 Yes6357880Is this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):PositionPosition Start DateFONTANA, ANGELA KAYGENERAL COUNSEL, MANAGER AND SECRETARYI ndividual11/20176503740Is this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):3 2022 FINRA. All rights reserved. Report about ALLSTATE FINANCIAL services , GuidanceDirect Owners and Executive Officers (continued)Firm ProfilePercentage of OwnershipIs this a public reportingcompany?

8 Does this owner direct themanagement or policies ofthe firm?Less than 5%NoYesPositionPercentage of OwnershipIs this a public reportingcompany?Position Start DateDoes this owner direct themanagement or policies ofthe firm?MERTEN, JESSE EDWARDMANAGERLess than 5%NoIndividual04/2015 Yes6505498Is this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):PositionPercentage of OwnershipIs this a public reportingcompany?Position Start DateDoes this owner direct themanagement or policies ofthe firm?NELSON, MARY KRISPRESIDENT, CHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER,CHIEF INFORMATION OFFICERLess than 5%NoIndividual09/2016 Yes2464654Is this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):4 2022 FINRA. All rights reserved. Report about ALLSTATE FINANCIAL services , GuidanceDirect Owners and Executive Officers (continued)Firm ProfilePositionPercentage of OwnershipIs this a public reportingcompany?

9 Position Start DateDoes this owner direct themanagement or policies ofthe firm?PRIESS, KENNETH PAULFNOPLess than 5%NoIndividual07/2014 Yes3204312Is this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):PositionPercentage of OwnershipIs this a public reportingcompany?Position Start DateDoes this owner direct themanagement or policies ofthe firm?SWEENEY, MICHAEL DANIELAML OFFICERLess than 5%NoIndividual10/2021 Yes2026113Is this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):5 2022 FINRA. All rights reserved. Report about ALLSTATE FINANCIAL services , GuidanceThis section provides information relating to any indirect owners of the brokerage OwnersFirm ProfileTHE ALLSTATE CORPORATIONOWNERALLSTATE INSURANCE COMPANY75% or moreYesDomestic Entity03/1993 YesLegal Name & CRD# (if any):Is this a domestic or foreignentity or an individual?Company through whichindirect ownership isestablishedRelationship to Direct OwnerRelationship EstablishedPercentage of OwnershipDoes this owner direct themanagement or policies ofthe firm?

10 Is this a public reportingcompany?6 2022 FINRA. All rights reserved. Report about ALLSTATE FINANCIAL services , GuidanceFirm HistoryThis section provides information relating to any successions ( , mergers, acquisitions) involving the of Succession:This firm was previously:Predecessor SEC#:LSA SECURITIES, CRD#:DescriptionALLSTATE FINANCIAL services , LLC, ASSUMED ALL ASSETS ANDLIABILITIES OF LSA SECURITIES IN A MERGER EFFECTIVE 4/1 FINANCIAL WAS AN AFFILIATE OF LSA SECURITIES CREATED TOPROVIDE A CHANGE IN NAME, CHANGE IN CORPORATE FORM, ANDCHANGE IN DOMICILE FOR THE BROKER-DEALER. THEIR WAS NOCHANGE IN CONTROL ASSOCIATED WITH THIS TRANSACTION, AND THEALLSTATE CORPORATION REMAINS THE THE BENEFICIAL OWNER OFBOTH 2022 FINRA. All rights reserved. Report about ALLSTATE FINANCIAL services , GuidanceFirm OperationsRegistrationsThis section provides information about the regulators (Securities and Exchange Commission (SEC), self-regulatoryorganizations (SROs), and states and territories) with which the brokerage firm is currently registered andlicensed, the date the license became effective, and certain information about the firm's SEC firm is currently registered with the SEC, 1 SRO and 51 states and Registration QuestionsThis firm is registered with the SEC as:A broker-dealer:A broker-dealer and government securities broker or dealer:A government securities broker or dealer only:This firm has ceased activity as a government securities broker or dealer:YesNoNoYesFederal RegulatorStatusDate EffectiveSECA pproved09/12/1986 Self-Regulatory OrganizationStatusDate EffectiveFINRAA pproved10/02/19868 2022 FINRA.