Lori R. Niebuhr
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.
Lori R Niebuhr, who also goes by Lori Niebuhr Mease, Lori Mease, Lori Ruth Niebuhr, Lori Niebuhr, Lori Niebuhr Waller, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1982. Lori had worked at 12 firms and has passed the Series 63, Series 22, Series 6, Series 7, Series 27, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2009 - October 22, 2013
AMERITAS INVESTMENT COMPANY, LLC
June 7, 2006 - February 9, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 17, 2003 - June 9, 2006
OSAIC FS, INC.
November 8, 2002 - January 17, 2003
JOHN HANCOCK DISTRIBUTORS LLC
July 12, 2000 - June 21, 2002
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
November 9, 1994 - July 18, 2000
NYLIFE SECURITIES LLC
November 26, 1993 - October 17, 1994
PRUCO SECURITIES, LLC.
November 14, 1988 - July 17, 1989
FSC SECURITIES CORPORATION
August 14, 1986 - November 5, 1987
BOWLES HOLLOWELL CONNER & CO.
December 17, 1984 - March 11, 1985
FIRST UNION CAPITAL MARKETS CORP.
July 9, 1984 - December 4, 1984
THE ROBINSON-HUMPHREY COMPANY, LLC
August 26, 1982 - June 21, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 8
Date: 1/28/1986
General Securities Sales Supervisor Examination (Options Module & General Module)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.
