Robert W. Sumrall
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.
Robert Wayne Sumrall, who also goes by Bob Sumrall, Bob Wayne Sumrall, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 22 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2018 - May 9, 2019
AMERITAS INVESTMENT COMPANY, LLC
March 19, 2018 - May 9, 2019
AMERITAS INVESTMENT COMPANY, LLC
June 30, 2017 - February 7, 2018
EQUITABLE ADVISORS, LLC
April 10, 2017 - February 7, 2018
EQUITABLE ADVISORS, LLC
April 23, 2008 - December 31, 2015
AMERITAS INVESTMENT COMPANY, LLC
April 27, 2005 - December 31, 2007
SLD AMERICA EQUITIES, INC.
September 16, 2003 - January 28, 2005
NYLIFE DISTRIBUTORS LLC
May 27, 2002 - August 19, 2003
MML DISTRIBUTORS, LLC
November 9, 1999 - June 28, 2001
EQUITABLE DISTRIBUTORS, LLC
September 30, 1998 - December 1, 1999
AMERICAN GENERAL SECURITIES INCORPORATED
March 25, 1996 - April 23, 1998
PACIFIC SELECT DISTRIBUTORS, LLC
June 11, 1985 - February 27, 1987
NYLIFE SECURITIES LLC
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
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.
