RD
Rick A. Dover
AMERITAS INVESTMENT COMPANY
Brownstown, PA 17508
Some features on this profile are disabled
CRD#: 1299723
RD
Professional summary
Rick Andrew Dover is a registered financial professional currently at AMERITAS INVESTMENT COMPANY, LLC located in Brownstown, Pennsylvania.
Rick is registered as a RR (Registered Representative) and started their career in finance in 1984. Rick has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Rick Andrew Dover's 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®
NoneExperience
Current
June 30, 2006 - Present
AMERITAS INVESTMENT COMPANY, LLC
Office #1: 1-3 West Main Street, Brownstown, PA 17508BD
CRD#: 14869
Brownstown, PA
Past
February 27, 1989 - June 30, 2006
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
EPHRATA, PA
Past
November 13, 1984 - December 13, 1984
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Arizona(6/1/2018)
RR
California(6/30/2006)
RR
Colorado(6/1/2018)
RR
Connecticut(4/27/2023)
RR
Delaware(6/30/2006)
RR
District of Columbia(6/30/2006)
RR
Florida(6/30/2006)
RR
Georgia(5/6/2019)
RR
Hawaii(8/8/2013)
RR
Idaho(1/2/2013)
RR
Illinois(1/2/2008)
RR
Indiana(5/6/2025)
RR
Iowa(6/19/2018)
RR
Kansas(2/7/2014)
RR
Maine(3/6/2017)
RR
Maryland(6/30/2006)
RR
Massachusetts(10/18/2011)
RR
Michigan(4/27/2023)
RR
Minnesota(1/30/2018)
RR
Missouri(8/20/2020)
RR
Montana(11/5/2020)
RR
New Hampshire(2/24/2023)
RR
New Jersey(6/30/2006)
RR
New York(6/30/2006)
RR
North Carolina(1/5/2009)
RR
Ohio(7/15/2014)
RR
Oregon(6/18/2018)
RR
Pennsylvania(6/30/2006)
RR
Rhode Island(3/10/2021)
RR
South Carolina(11/6/2013)
RR
South Dakota(9/29/2020)
RR
Texas(8/25/2020)
RR
Utah(8/29/2013)
RR
Virginia(4/12/2011)
RR
Washington(7/17/2015)
RR
Wisconsin(5/30/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AI
AMERITAS INVESTMENT COMPANY, LLC
AMERITAS ADVISORY SERVICES | THE ADVISORS GROUP (TAG) | SOWER SECURITIES CORP. | BLN INVESTMENT CORP. | AMERITAS INVESTMENT CORP. | AMERITAS INVESTMENT CORP | AMERITAS INVESTMENT COMPLANY, LLC | AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
5900 "o" Street, Lincoln, NE 68510
Mailing Address
Po Box 5507, Lincoln, NE 68505-0507
Phone number
(800) 335-9858
Established
Nebraska since 04/10/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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.
Company Information
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869Brownstown, PA 17508TRUST BUT VERIFY
Monitor Rick Dover
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
