AMERITAS ADVISORY SERVICES, LLC of LINCOLN, NE is an SEC-registered investment adviser (CRD 317245). Regulatory assets under management: $13.7B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 36 people.
| Name | Role | Location |
|---|---|---|
| MANN MICHAEL | PRESIDENT & BOARD OF DIRECTORS | PLANO, TX |
| Maria Elizabeth Sherffius | SECOND VP, COMPLIANCE | — |
| Ryan Charles Beasley | MEMBER, BOARD OF DIRECTORS | — |
| Brent Frazier Korte | MEMBER, BOARD OF DIRECTORS | — |
| Matthew John Kinsella | CHIEF COMPLIANCE OFFICER; VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| Richard Aaron Berthold | VICE PRESIDENT, OPERATIONS; VICE PRESIDENT, SERVICE & OPERATIONS | — |
| Jennifer Ann Kobza | VICE PRESIDENT, PUBLIC FINANCE | — |
| Jeremy Michael Robson | PRESIDENT; VICE PRESIDENT, WEALTH MANAGEMENT & INVESTMENT SERVICES | — |
| Michael Eugene Shoemaker | VICE PRESIDENT & MANAGING DIRECTOR, PUBLIC FINANCE | — |
| Tyler Joseph Schubauer | CORPORATE SECRETARY | — |
| Michele Xiaoming Wu | BOARD OF DIRECTORS | — |
| Christine Miller Neighbors | ASSISTANT SECRETARY; CORPORATE SECRETARY | — |
| Kelly Jay Halverson | MEMBER, BOARD OF DIRECTORS | — |
| Roger Anthony Ruz | VICE PRESIDENT, SALES SUPERVISION | — |
| Elizabeth Michelle Walker-Sadler | REGIONAL VP, SALES & DISTRIBUTION | — |
| Brandon Michael Mann | PRESIDENT & BOARD OF DIRECTORS | — |
| GROSSER CONNIE SUE | VICE PRESIDENT, WEALTH MANAGEMENT & INVESTMENT SERVICES | — |
| DENBY SUSANNE MARIE | SECOND VICE PRESIDENT, SALES SUPERVISION | — |
| SHERFFIUS MARIA ELIZABETH | SECOND VP, COMPLIANCE | — |
| SHOEMAKER MICHAEL EUGENE | VICE PRESIDENT & MANAGING DIRECTOR, PUBLIC FINANCE | — |
| WILKINSON TYLER KAY | MEMBER, BOARD OF DIRECTORS | — |
| KINSELLA STEPHEN JOHN | CHIEF COMPLIANCE OFFICER; INTERIM PRESIDENT & CHIEF COMPLIANCE OFFICER; VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| BEASLEY RYAN CHARLES | MEMBER, BOARD OF DIRECTORS | — |
| KORTE BRENT FRAZIER | MEMBER, BOARD OF DIRECTORS | — |
| NEIGHBORS CHRISTINE MILLER | CORPORATE SECRETARY | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-04-23 | regulatory | THE KENTUCKY DEPARTMENT OF INSURANCE (THE "DEPARTMENT") ALLEGED THAT AMERITAS LIFE INSURANCE CORP. FAILED TO TIMELY RESPOND TO A CUSTOMER COMPLAINT AND THE DEPARTMENT'S QUESTIONS REGARDING THE SAME AND THEREFORE VIOLATED KENTUCKY REVISED STATUE CHAPTER 304 OF THE KENTUCKY INSURANCE CODE. | Final | $8K |
| 2022-02-25 | regulatory | THE SEC ALLEGED THAT THE ADVISORY FIRM FAILED TO PROVIDE FULL AND FAIR DISCLOSURE REGARDING CONFLICTS ASSOCIATED WITH CERTAIN THIRD-PARTY COMPENSATION RECEIVED WHEN THE ADVISORY BUSINESS WAS PART OF AMERITAS INVESTMENT COMPANY, LLC ("AIC"). THE CONFLICTS INCLUDED (1) AIC'S RECEIPT OF REVENUE SHARING… | Final | $750K |
| 2022-01-01 | regulatory | AMERITAS LIFE INSURANCE CORP FAILED TO FOLLOW ESTABLISHED PRACTICES AND PROCEDURES TO ENSURE COMPLIANCE WITH THE STATE OF CONNECTICUT'S STATUTORY REQUIREMENTS IN REGARDS TO TWENTY-ONE PRODUCERS ACTING AS AGENT OF AMERITAS WITHOUT THE REQUIRED APPOINTMENT. | Final | $32K |
| 2020-10-27 | regulatory | AMERITAS ADVISORY SERVICES, LLC'S PREDECESSOR FIRM, AMERITAS INVESTMENT COMPANY, LLC, FAILED TO REGISTER AT LEAST ONE EMPLOYEE IN PA AS AN INVESTMENT ADVISER REPRESENTATIVE FROM JANUARY 2015 THROUGH JUNE 2019 IN VIOLATION OF THE PA SECURITIES ACT OF 1972. | Final | $100K |
| 2019-05-13 | regulatory | AMERITAS LIFE INSURANCE CORP FAILED TO FOLLOW ESTABLISHED PRACTICES AND PROCEDURES TO ENSURE COMPLIANCE WITH THE STATE OF CONNECTICUT'S STATUTORY REQUIREMENTS IN REGARDS TO ONE PRODUCER ACTING AS AGENT OF AMERITAS WITHOUT THE REQUIRED APPOINTMENT. | Final | $5K |
| 2019-03-11 | regulatory | AMERITAS ADVISORY SERVICES, LLC'S PREDECESSOR FIRM, AMERITAS INVESTMENT COMPANY, LLC AIC), SELF REPORTED TO THE SEC POTENTIAL VIOLATIONS OF SECTIONS 206(2) AND 207 OF THE ADVISERS ACT BY FAILING TO ADEQUATELY DISCLOSE THE FACT THAT AIC RECEIVED 12B-1 FEES FROM MUTUAL FUNDS HELD IN ADVISORY ACCOUNTS. | Final | — |
| 2015-06-25 | regulatory | AMERITAS LIFE INSURANCE CORP FAILED TO FOLLOW ESTABLISHED PRACTICES AND PROCEDURES TO ENSURE COMPLIANCE WITH THE STATE OF CONNECTICUT'S STATUTORY REQUIREMENTS IN REGARDS TO EIGHT PRODUCERS ACTING AS AGENTS OF AMERITAS WITHOUT THE REQUIRED APPOINTMENT. | Final | $12K |
| 2015-03-09 | regulatory | AN AGENT SOLD, SOLICITED AND/OR NEGOTIATED AMERITAS INSURANCE PRODUCTS IN AN UNFAIR, DECEPTIVE, MISLEADING AND/OR FRAUDULENT MANNER IN VIOLATION OF INSURANCE LAWS OF THE STATE OF NEW JERSEY, AND THAT AMERITAS LIFE INSURANCE CORP. ASSISTED AND/OR FACILITATED THOSE ACTS. | Final | — |
| — | regulatory | — | — | — |
| — | civil | — | — | — |