Donald L. Thomas
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.
Donald Leroy Thomas, who also goes by Don Thomas, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1986. Donald had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2006 - May 18, 2021
AMERITAS INVESTMENT COMPANY, LLC
June 30, 2006 - May 18, 2021
AMERITAS INVESTMENT COMPANY, LLC
June 17, 2004 - June 30, 2006
CARILLON INVESTMENTS, INC.
April 14, 2004 - June 30, 2006
CARILLON INVESTMENTS, INC.
May 15, 2001 - March 22, 2004
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - March 22, 2004
WELLS FARGO INVESTMENTS, LLC
September 20, 1993 - May 2, 2001
WELLS FARGO SECURITIES INC.
August 24, 1992 - September 20, 1993
MARKETING ONE SECURITIES, INC.
May 22, 1990 - August 25, 1992
SENTRA SECURITIES CORPORATION
August 25, 1989 - May 29, 1990
FIRST AFFILIATED SECURITIES
August 19, 1988 - August 25, 1989
PFG SECURITIES, INC.
May 21, 1986 - August 12, 1988
WASHINGTON NATIONAL EQUITY COMPANY
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.
