Thomas J. Gilliam
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.
Thomas Joseph Gilliam SR, who also goes by Thomas Joseph Gilliam, Tom Gilliam, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2009 - July 20, 2021
AMERITAS INVESTMENT COMPANY, LLC
June 30, 2006 - July 20, 2021
AMERITAS INVESTMENT COMPANY, LLC
February 1, 1996 - June 30, 2006
CARILLON INVESTMENTS, INC.
February 20, 1992 - January 11, 1996
METROPOLITAN LIFE INSURANCE COMPANY
February 20, 1992 - January 11, 1996
MSI FINANCIAL SERVICES, INC.
August 11, 1988 - July 26, 1991
GUARDIAN INVESTOR SERVICES LLC
January 16, 1986 - December 12, 1988
AETNA LIFE INSURANCE AND ANNUITY COMPANY
August 12, 1985 - October 29, 1986
AMERICAN CAPITAL EQUITIES, INC.
April 23, 1985 - June 2, 1988
CARILLON INVESTMENTS, INC.
November 26, 1984 - August 6, 1985
WESTPORT FINANCIAL GROUP, INC.
May 18, 1984 - October 1, 1984
MIDWEST EQUITIES, INC.
April 11, 1984 - September 17, 1984
AMERICAN CAPITAL EQUITIES, 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
Exams
Series 2
Date: 6/23/1973
Non-Member General Securities ExaminationCurrent 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.
