James J. Carbone
Professional summary
James Joseph Carbone, CFP®, who also goes by James J Carbone, Jim Carbone, is a registered financial professional currently at AMERITAS INVESTMENT COMPANY, LLC located in Lincoln, Nebraska.
James is registered as a RR (Registered Representative) and started their career in finance in 1983. James has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Joseph Carbone's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 8, 2020 - Present
AMERITAS INVESTMENT COMPANY, LLC
Office #1: 5900 "o" Street, Lincoln, NE 68510-2234October 4, 2017 - August 7, 2019
HORNOR, TOWNSEND & KENT, LLC
April 11, 2016 - January 19, 2017
PRINCIPAL SECURITIES, INC.
July 12, 2011 - January 19, 2017
PRINCIPAL SECURITIES, INC.
April 29, 2005 - December 31, 2005
ESSEX SECURITIES LLC
November 1, 1999 - April 29, 2005
AMERICAN GENERAL SECURITIES INCORPORATED
December 13, 1983 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
December 13, 1983 - December 20, 1997
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/8/2020)
Exams
FINRA
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
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