Steven R. Herman

AMERITAS ADVISORY SERVICES

LINCOLN, NE 68510

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CRD#: 2893663

Professional summary

Steven Robert Herman, who also goes by Steven Robert Herman, Steven Herman, is a registered financial advisor currently at AMERITAS ADVISORY SERVICES, LLC located in Lincoln, Nebraska and AMERITAS INVESTMENT COMPANY, LLC located in Lincoln, Nebraska.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Steven has worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven Robert Herman | Steven Herman

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Robert Herman'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®

None

Experience

Current

October 5, 2022 - Present

AMERITAS ADVISORY SERVICES, LLC

Office #1: 5900 O Street, Lincoln, NE 68510

RIA

CRD#: 317245

LINCOLN, NE

Current

October 4, 2022 - Present

AMERITAS INVESTMENT COMPANY, LLC

Office #1: 5900 "o" Street, Lincoln, NE 68510

CRD#: 14869

Lincoln, NE

Past

July 26, 2018 - September 26, 2022

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

LA VISTA, NE

Past

July 13, 2018 - September 26, 2022

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

February 9, 2015 - July 24, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

February 9, 2015 - July 24, 2018

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

February 20, 2008 - November 7, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ROSEVILLE, CA

Past

February 20, 2008 - November 7, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ROSEVILLE, CA

Past

February 17, 2006 - September 26, 2007

EPLANNING SECURITIES, INC.

CRD#: 46000

ROSEVILLE, CA

Past

January 26, 2006 - September 26, 2007

EPLANNING ADVISORS INC

RIA

CRD#: 109184

ROSEVILLE, CA

Past

March 22, 2004 - July 5, 2005

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

Past

January 2, 2004 - March 16, 2004

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

SACRAMENTO, CA

Past

January 2, 2004 - March 16, 2004

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

June 25, 2003 - January 8, 2004

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

CITRUS HEIGHTS, CA

Past

January 27, 2003 - January 8, 2004

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

July 7, 1998 - February 5, 2003

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SACRAMENTO, CA

Past

July 16, 1997 - February 5, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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

Alabama
(12/9/2022)

Alaska
(11/15/2022)

Arizona
(12/9/2022)

Arkansas
(11/28/2022)

California
(12/9/2022)

Colorado
(11/2/2022)

Connecticut
(12/9/2022)

Delaware
(12/9/2022)

District of Columbia
(12/9/2022)

Florida
(12/9/2022)

Georgia
(11/17/2022)

Hawaii
(12/9/2022)

Idaho
(12/9/2022)

Illinois
(11/15/2022)

Indiana
(12/9/2022)

Iowa
(12/9/2022)

Kansas
(12/9/2022)

Kentucky
(12/9/2022)

Louisiana
(12/9/2022)

Maine
(12/9/2022)

Maryland
(12/9/2022)

Massachusetts
(11/21/2022)

Michigan
(12/9/2022)

Minnesota
(11/15/2022)

Mississippi
(12/9/2022)

Missouri
(12/9/2022)

Montana
(12/9/2022)

Nebraska
(10/4/2022)

IAR

Nebraska
(12/13/2022)

Nevada
(12/7/2022)

New Hampshire
(12/9/2022)

New Jersey
(12/9/2022)

New Mexico
(12/9/2022)

New York
(11/15/2022)

North Carolina
(11/22/2022)

North Dakota
(12/9/2022)

Ohio
(12/12/2022)

Oklahoma
(12/9/2022)

Oregon
(11/22/2022)

Pennsylvania
(12/9/2022)

Rhode Island
(12/9/2022)

South Carolina
(12/9/2022)

South Dakota
(12/9/2022)

Tennessee
(12/9/2022)

IAR

Texas
(10/5/2022)

Texas
(10/24/2022)

Utah
(12/9/2022)

Vermont
(12/9/2022)

Virginia
(11/15/2022)

Washington
(12/9/2022)

West Virginia
(12/9/2022)

Wisconsin
(12/9/2022)

Wyoming
(12/9/2022)

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: 8/1/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/1/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/15/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/18/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

AMERITAS ADVISORY SERVICES, LLC

CRD#: 317245 / SEC#: 801-55153

RIA

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

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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.

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Advisor Monitoring

Firm Stability Insights

Steven R. Herman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Robert Herman's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERITAS INVESTMENT COMPANY, LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

EPLANNING SECURITIES, INC.

EPLANNING ADVISORS INC

E*TRADE SECURITIES LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

AMERITAS ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/1/1997

Series 63

Date: 8/1/1997

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/15/1997

Series 24

Date: 5/18/2006

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

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