Stephan E. Mise
Professional summary
Stephan Edwin Mise, who also goes by Stephen Edwin Mise, is a registered financial professional currently at AMERITAS INVESTMENT COMPANY, LLC located in Lincoln, Nebraska.
Stephan is registered as a RR (Registered Representative) and started their career in finance in 1986. Stephan has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephan Edwin Mise's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 13, 2014 - Present
AMERITAS INVESTMENT COMPANY, LLC
Office #1: 5900 "o" Street, Lincoln, NE 68510-2234April 11, 2007 - November 28, 2014
LPL FINANCIAL LLC
November 5, 2004 - April 1, 2005
EMPOWER FINANCIAL SERVICES, INC.
May 8, 2002 - May 18, 2004
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 1, 1999 - October 25, 2000
HORNOR, TOWNSEND & KENT, LLC
April 2, 1996 - December 14, 1998
HORNOR, TOWNSEND & KENT, LLC
January 22, 1993 - April 19, 1994
LUCIEN, STIRLING & GRAY FINANCIAL CORPORATION
November 7, 1989 - December 8, 1992
NEW ENGLAND SECURITIES
April 26, 1989 - July 17, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 6, 1986 - December 8, 1992
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/13/2014)
Exams
FINRA
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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Company Information
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869Lincoln, NE 68510-2234TRUST BUT VERIFY
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