John A. Pelham

AMERITAS ADVISORY SERVICES

HOMEWOOD, AL 35209

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CRD#: 1252189

Professional summary

John Alan Pelham, CFP®, ChFC®, CLU® is a registered financial advisor currently at AMERITAS ADVISORY SERVICES, LLC located in Homewood, Alabama and AMERITAS INVESTMENT COMPANY, LLC located in Homewood, Alabama.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. John has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 22, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

LICENSED AS AN INDEPENDENT INSURANCE AGENT FOR THE PURPOSE OF SELLING FIXED INSURANCE PRODUCTS; *NOWLIN AND ASSOCIATES; SAME AS BRANCH; INV REL; INSURANCE AGENCY; AGENT; START DATE = 03/1998; HRS/MO = 200; TRADING HRS/MO = 200; HELPING CLIENTS PREPARE FOR RETIREMENT/SALES; *PELHAM FINANCIAL GROUP; SAME AS BRANCH; INV REL; EDUCATIONAL SEMINARS/FIXED ANNYUITY SALES/CFP CURRICULUM INSTRUCTOR; OWNER/PRESENTER; START DATE = 11/2006; HRS/MO = 5; TRADING HRS/MO =2; PRESENT EDUCATIONAL SEMINARS AND MAKE FIXED AND INDEX ANNUITY SALES, ALSO TEACH THE CFP CURRICULUM * Ameritas Life Insurance Company; Start: 1/02/2003; 10 hours per month (10 hours per month during market hours); Homewood, AL; Agent; Insurance Sales * Pelham Financial LLC; inv rel; same as branch; Financial product sales; Owner; start date=08/2023; hrs/mo=0; trading hrs/mo=0; Financial sales .

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Alan Pelham's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1994

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

March 31, 2023 - Present

AMERITAS ADVISORY SERVICES, LLC

Office #1: 2718 20th St South Ste 100, Homewood, AL 35209

RIA

CRD#: 317245

HOMEWOOD, AL

Current

October 31, 2003 - Present

AMERITAS INVESTMENT COMPANY, LLC

Office #1: 2718 20th St S Ste 100, Homewood, AL 35209

CRD#: 14869

HOMEWOOD, AL

Past

August 13, 2021 - September 9, 2021

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

LINCOLN, NE

Past

June 15, 2021 - May 15, 2023

THE ASCENT GROUP, LLC

RIA

CRD#: 314424

Homewood, AL

Past

September 30, 2004 - August 10, 2021

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

LINCOLN, NE

Past

October 4, 2001 - September 30, 2004

THE ADVISORS GROUP, INC.

RIA

CRD#: 14035

BIRMINGHAM, AL

Past

March 2, 1998 - October 31, 2003

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

June 2, 1986 - March 5, 1998

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

March 21, 1984 - June 13, 1986

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AMERITAS ADVISORY SERVICES, LLC

CRD#: 317245 / SEC#: 801-55153

RIA

Registered Investment Advisory firm - (1/13/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(10/31/2003)

IAR

Alabama
(3/31/2023)

Florida
(10/7/2008)

Georgia
(6/28/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/30/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/23/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/13/1991

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 5/26/1987

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 3/20/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/16/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/12/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

AMERITAS ADVISORY SERVICES, LLC

CRD#: 317245 / SEC#: 801-55153

RIA

Registered Investment Advisory firm - (1/13/1998 Approved)

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Contact information

Main Address

5900 O Street, Lincoln, NE 68510

Mailing Address

Phone number

(800) 335-9858

Established

Firm type

Fiscal year end

# of Employees

560

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (9/19/2025)

AMERITAS INVESTMENT STRATEGIES WRAP BROCHURE (9/19/2025)

AMERITAS WEALTH PLATFORM (9/19/2025)

GALAXY WRAP FEE BROCHURE (9/19/2025)

GALAXY II WRAP FEE BROCHURE (9/19/2025)

CONSTELLATION WRAP FEE PROGRAM (9/19/2025)

Regulatory assets under management

Total Number of Accounts	41,501
AUM (Assets Under Management)	$ 11,506,548,514

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
07/23/2024	Cover Page	Report
07/27/2023	Cover Page	Report

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.

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Firm Stability Insights

John A. Pelham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Alan Pelham's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

THE ASCENT GROUP, LLC

AMERITAS INVESTMENT COMPANY, LLC

THE ADVISORS GROUP, INC.

THE ADVISORS GROUP, INC.

VERAVEST INVESTMENTS, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

AMERITAS ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/30/1995

Series 63

Date: 3/23/1984

Series 52TO

Date: 9/25/2025

SIE

Date: 10/1/2018

Series 7

Date: 3/13/1991

Series 22

Date: 5/26/1987

Series 6

Date: 3/20/1984

Series 53

Date: 12/16/2003

Series 24

Date: 11/12/1998

FINRA

Current Firm

AMERITAS ADVISORY SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

AMERITAS ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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