Cheryl L. Herbert Carter
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.
Cheryl Lavon Herbert Carter, who also goes by Cheryl Gates, Cheryl Lavon Herbert, Cheri Peterson, Cheryl Lavon Peterson, was a registered financial professional .
Cheryl is a previously registered financial professional and started their career in finance in 1987. Cheryl had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 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
July 10, 2012 - March 12, 2019
AMERITAS INVESTMENT COMPANY, LLC
July 5, 2012 - March 12, 2019
AMERITAS INVESTMENT COMPANY, LLC
November 23, 2011 - April 18, 2012
FIRST BROKERAGE AMERICA, L.L.C.
May 16, 1998 - April 18, 2012
FIRST BROKERAGE AMERICA, L.L.C.
March 4, 1997 - May 8, 1998
GRIFFIN FINANCIAL SERVICES
October 25, 1993 - February 27, 1997
WELLS FARGO SECURITIES INC.
December 20, 1991 - October 25, 1993
MARKETING ONE SECURITIES, INC.
August 1, 1991 - October 1, 1991
ESSEX NATIONAL SECURITIES, LLC
February 3, 1988 - June 28, 1991
GAF FINANCIAL AND INSURANCE SERVICES
March 27, 1987 - June 14, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
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.
