James R. Gairns
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.
James Robert Gairns was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 22, Series 51 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
June 20, 2012 - March 16, 2021
AMERITAS INVESTMENT COMPANY, LLC
November 27, 2007 - June 13, 2012
TRANSAMERICA INVESTORS SECURITIES, LLC
March 17, 2005 - July 3, 2007
HORACE MANN INVESTORS, INC.
June 30, 2000 - February 2, 2005
AMERITAS INVESTMENT COMPANY, LLC
February 2, 1999 - June 2, 2000
VOYA INVESTMENTS DISTRIBUTOR, LLC
October 16, 1998 - January 29, 1999
NICHOLAS-APPLEGATE SECURITIES LLC
January 9, 1998 - October 7, 1998
UBS FINANCIAL SERVICES INC.
October 21, 1993 - November 25, 1997
MFS FUND DISTRIBUTORS, INC.
March 8, 1993 - October 7, 1993
G. R. PHELPS & CO., INC.
May 19, 1992 - August 31, 1992
SUNAMERICA SECURITIES, INC.
January 11, 1991 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 23, 1990 - November 12, 1990
OPPENHEIMER & CO. INC.
November 17, 1986 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
June 28, 1982 - October 8, 1986
GREEN HILL FINANCIAL SERVICE CORPORATION
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.
