Leslie J. Emken
Professional summary
Leslie John Emken was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Leslie is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, Leslie had worked at 9 firms, which includes AMERITAS INVESTMENT COMPANY LLC, QUESTAR CAPITAL CORPORATION, USALLIANZ SECURITIES INC., LOCUST STREET SECURITIES INC., SUNSET FINANCIAL SERVICES INC., BMA FINANCIAL SERVICES INC., AMERICAN GENERAL EQUITY SERVICES CORPORATION, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2007 - June 22, 2011
AMERITAS INVESTMENT COMPANY, LLC
December 1, 2006 - March 29, 2007
QUESTAR CAPITAL CORPORATION
June 6, 2002 - June 16, 2006
USALLIANZ SECURITIES, INC.
December 20, 2000 - December 1, 2006
USALLIANZ SECURITIES, INC.
February 22, 2000 - December 21, 2000
LOCUST STREET SECURITIES, INC.
March 31, 1998 - February 18, 2000
SUNSET FINANCIAL SERVICES, INC.
December 16, 1997 - April 6, 1998
BMA FINANCIAL SERVICES, INC.
July 14, 1995 - December 15, 1997
AMERICAN GENERAL EQUITY SERVICES CORPORATION
November 8, 1985 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 8, 1985 - July 18, 1995
PRUCO 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
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