Kevin F. Mccarthy
Professional summary
Kevin Francis Mccarthy is a registered financial professional currently at AMERITAS INVESTMENT COMPANY, LLC located in Lincoln, Nebraska.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1987. Kevin has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kevin Francis Mccarthy's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 20, 2016 - Present
AMERITAS INVESTMENT COMPANY, LLC
Office #1: 5900 "o" Street, Lincoln, NE 68510-2234March 31, 2015 - September 2, 2016
PARK AVENUE SECURITIES LLC
July 30, 2009 - March 31, 2015
GUARDIAN INVESTOR SERVICES LLC
February 9, 2009 - June 30, 2009
RMC CAPITAL MARKETS GROUP, INC
April 5, 2004 - January 27, 2009
COREBRIDGE CAPITAL SERVICES, INC.
February 1, 1995 - March 19, 2004
DWS DISTRIBUTORS, INC.
March 25, 1987 - February 1, 1995
KEMPER FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/20/2016)
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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