Roman Herz
Professional summary
Roman Herz, who also goes by Ray Herz, is a registered financial professional currently at AMERITAS INVESTMENT COMPANY, LLC located in Avon, Connecticut.
Roman is registered as a RR (Registered Representative) and started their career in finance in 1973. Roman has worked at 6 firms and has passed the Series 66, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roman Herz's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2006 - Present
AMERITAS INVESTMENT COMPANY, LLC
October 29, 2003 - June 30, 2006
CARILLON INVESTMENTS, INC.
June 19, 2001 - October 16, 2003
SIGNATOR INVESTORS, INC.
December 1, 2000 - June 7, 2001
CARILLON INVESTMENTS, INC.
August 2, 1990 - December 4, 2000
BERKSHIRE EQUITY SALES, INC.
April 26, 1977 - July 3, 1990
GREEN HILL FINANCIAL SERVICE CORPORATION
August 23, 1973 - December 24, 1976
HORNOR, TOWNSEND & KENT, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/30/2006)
(6/30/2006)
(1/17/2018)
(6/30/2006)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 8/20/1973
Registered Representative ExaminationFINRA
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.
