Larry T. Wiseman
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.
Larry Thomas Wiseman was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1981. Larry had worked at 10 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2000 - February 2, 2012
AMERITAS INVESTMENT COMPANY, LLC
May 3, 1999 - May 15, 2000
PARK AVENUE SECURITIES LLC
August 29, 1997 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
May 28, 1996 - June 18, 1997
VOYA FINANCIAL ADVISORS, INC.
July 31, 1990 - August 17, 1995
CETERA WEALTH SERVICES, LLC
June 27, 1988 - June 23, 1989
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 17, 1987 - May 11, 1988
CETERA WEALTH SERVICES, LLC
May 22, 1986 - September 8, 1987
AMERITAS INVESTMENT COMPANY, LLC
May 3, 1985 - June 10, 1986
AMERICAN GENERAL SECURITIES INCORPORATED
February 21, 1984 - April 24, 1984
NEW ENGLAND SECURITIES
October 26, 1981 - December 10, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 26, 1981 - December 10, 1984
EQUITABLE ADVISORS, LLC
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
Current Firm
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 2 |
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.
