Richard C. Spence

AMERITAS ADVISORY SERVICES

ALEDO, TX

Some features on this profile are disabled

CRD#: 2086210

Professional summary

Richard Charles Spence, AIF®, who also goes by Rick Spence, is a registered financial advisor currently at AMERITAS ADVISORY SERVICES, LLC located in Aledo, Texas and AMERITAS INVESTMENT COMPANY, LLC located in Laplace, Louisiana.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Richard has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Spence

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

FULLHOUSE; SAME AS RESIDENCE; NON-INV REL; PERFORM MUSIC, RECORD MUSIC & DISTRIBUTE MUSIC, VOLUNTEER FOR CHARITABLE ORGANIZATIONS THROUGH PERFORMANCES AND TEACH MUSIC; OWNER; START DATE=04/2011; HRS/MO=5; TRADING HRS/MO=0; MANAGE SCHEDULE FOR PERFORMANCES, RECEIVE PAYMENTS FOR SALE OF MUSIC AND ROYALTIES * CONSTRUCTION; SAME AS RESIDENCE; NON-INV REL; CONSTRUCTION, REPAIR AND REMODELING SERVICES FOR HOME AND RANCH; SOLE PROPRIETOR; START DATE=12/2016; HRS/MO=20; TRADING HRS/MO=0; PURCHASE MATERIALS FOR JOB, PROVIDE LABOR TO COMPLETE JOB

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Charles Spence's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

November 1, 2021 - Present

AMERITAS ADVISORY SERVICES, LLC

Office #2: 610 Belle Terre Blvd, Laplace, LA 70068

RIA

CRD#: 317245

ALEDO, TX

Current

February 25, 2013 - Present

AMERITAS INVESTMENT COMPANY, LLC

Office #1: 610 Belle Terre Blvd, Laplace, LA 70068

CRD#: 14869

LAPLACE, LA

Past

February 25, 2013 - November 1, 2021

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

LINCOLN, NE

Past

April 5, 2012 - April 11, 2013

ALLIED FINANCIAL CONSULTANT LLC

RIA

CRD#: 158812

ALEDO, TX

Past

September 25, 2008 - October 4, 2011

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

IRVING, TX

Past

November 23, 2007 - June 30, 2008

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

August 4, 1992 - September 10, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 27, 1990 - August 17, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AMERITAS ADVISORY SERVICES, LLC

CRD#: 317245 / SEC#: 801-55153

RIA

Registered Investment Advisory firm - (1/13/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Texas
(2/25/2013)

IAR

Texas
(11/1/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/23/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/29/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/6/2007

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 3

Date: 10/22/1990

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/17/1990

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

AMERITAS ADVISORY SERVICES, LLC

CRD#: 317245 / SEC#: 801-55153

RIA

Registered Investment Advisory firm - (1/13/1998 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5900 O Street, Lincoln, NE 68510

Mailing Address

Phone number

(800) 335-9858

Established

Firm type

Fiscal year end

# of Employees

560

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (9/19/2025)

AMERITAS INVESTMENT STRATEGIES WRAP BROCHURE (9/19/2025)

AMERITAS WEALTH PLATFORM (9/19/2025)

GALAXY WRAP FEE BROCHURE (9/19/2025)

GALAXY II WRAP FEE BROCHURE (9/19/2025)

CONSTELLATION WRAP FEE PROGRAM (9/19/2025)

Regulatory assets under management

Total Number of Accounts	41,501
AUM (Assets Under Management)	$ 11,506,548,514

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
07/23/2024	Cover Page	Report
07/27/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard C. Spence

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Charles Spence's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

ALLIED FINANCIAL CONSULTANT LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

HIMCO DISTRIBUTION SERVICES COMPANY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

AMERITAS ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/23/2012

Series 63

Date: 6/29/2007

SIE

Date: 10/1/2018

Series 6

Date: 7/6/2007

Series 3

Date: 10/22/1990

Series 7

Date: 9/17/1990

FINRA

Current Firm

AMERITAS ADVISORY SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

AMERITAS ADVISORY SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors