Adrian L. Garrett
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.
Adrian Lorance Garrett was a registered financial professional .
Adrian is a previously registered financial professional and started their career in finance in 1988. Adrian had worked at 13 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2010 - July 13, 2012
AMERITAS INVESTMENT COMPANY, LLC
June 25, 2009 - June 23, 2010
INSTITUTIONAL CAPITAL MANAGEMENT, INC.
January 23, 2008 - February 4, 2009
SIGNATOR INVESTORS, INC.
February 27, 2006 - October 18, 2007
SCF SECURITIES, INC.
December 4, 2003 - September 27, 2004
GREENBOOK SECURITIES, INC.
July 29, 2002 - October 28, 2002
ROBERT VAN SECURITIES, INC.
October 14, 1996 - December 31, 2001
ARAGON FINANCIAL SERVICES, INC.
December 17, 1993 - December 8, 1994
IDS LIFE INSURANCE COMPANY
December 17, 1993 - December 8, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
November 18, 1992 - August 31, 1993
ARAGON FINANCIAL SERVICES, INC.
February 22, 1990 - November 19, 1990
WADDELL & REED
April 17, 1989 - October 31, 1989
VALUE EQUITIES CORPORATION
January 31, 1989 - March 9, 1989
KOBER FINANCIAL CORP.
September 21, 1988 - January 19, 1989
POWER SECURITIES CORPORATION
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.
