David N. Peterson
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.
David Neil Peterson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2012 - July 31, 2014
AMERITAS INVESTMENT COMPANY, LLC
November 17, 2009 - October 13, 2010
R.W. TOWT & ASSOCIATES
August 7, 2000 - February 5, 2009
LPL FINANCIAL LLC
October 1, 1996 - June 28, 2000
OSAIC FA, INC.
August 11, 1993 - October 1, 1996
UNUM SALES CORPORATION
September 22, 1992 - June 3, 1993
CARILLON INVESTMENTS, INC.
February 19, 1992 - August 24, 1992
INTERFIRST CAPITAL CORPORATION
March 22, 1989 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
March 22, 1989 - February 8, 1991
MONY SECURITIES CORPORATION
January 23, 1986 - September 21, 1988
MONY SECURITIES CORPORATION
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.
