Robert F. Baty
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.
Robert Frank Baty, who also goes by Bob Baty, Robert Frank Baty, Robert F Baty, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1989. Robert had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2019 - December 31, 2020
AMERITAS INVESTMENT COMPANY, LLC
June 9, 2017 - March 1, 2019
NYLIFE SECURITIES LLC
July 19, 2016 - April 4, 2017
COUNTRY CAPITAL MANAGEMENT COMPANY
April 7, 2010 - December 31, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 6, 2010 - February 3, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 17, 2007 - February 25, 2010
EDWARD JONES
September 9, 1993 - February 25, 2010
EDWARD JONES
June 14, 1993 - June 28, 1993
IDS LIFE INSURANCE COMPANY
June 14, 1993 - June 28, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
August 1, 1989 - February 12, 1993
ROMANO BROTHERS AND COMPANY
April 6, 1989 - July 10, 1989
LASHCO, 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
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.
