Steven L. Roach

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CRD#: 2918432

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.

Steven Lewis Roach was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1999. Steven had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

CORNERSTONE FINANCIAL PARTNERS; SAME AS BRANCH; INV REL; INSURANCE SALES; AGENT; START DATE=08/2024; HRS/MO=20; TRADING HRS/MO=20; INSURANCE SALES

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 21, 2024 - June 26, 2025

AMERITAS ADVISORY SERVICES, LLC

RIA

CRD#: 317245

DERBY, KS

Past

August 21, 2024 - June 26, 2025

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

DERBY, KS

Past

October 27, 2022 - August 21, 2024

FIRST HEARTLAND CONSULTANTS, INC.

RIA

CRD#: 110377

DERBY, KS

Past

August 26, 2022 - August 21, 2024

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

DERBY, KS

Past

January 16, 2017 - November 1, 2018

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

DERBY, KS

Past

April 27, 2015 - November 1, 2016

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

Derby, KS

Past

March 12, 2012 - December 9, 2013

BROOKLIGHT PLACE SECURITIES, INC.

CRD#: 15764

DERBY, KS

Past

October 19, 2004 - June 22, 2005

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

April 27, 1999 - December 31, 1999

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/3/2022

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/14/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/31/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/26/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/9/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/26/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 4/23/1999

Investment Company Products/Variable Contracts Principal Examination

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 L. Roach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERITAS INVESTMENT COMPANY, LLC

FIRST HEARTLAND CONSULTANTS, INC.

FIRST HEARTLAND CAPITAL, INC.

FIRST HEARTLAND CAPITAL, INC.

FIRST HEARTLAND CAPITAL, INC.

BROOKLIGHT PLACE SECURITIES, INC.

1717 CAPITAL MANAGEMENT COMPANY

PFS INVESTMENTS INC.

Primary Firm SEC Registration

AMERITAS ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/3/2022

Series 65

Date: 11/14/2017

Series 63

Date: 3/31/2012

Series 7TO

Date: 8/26/2022

SIE

Date: 10/1/2018

Series 7

Date: 3/9/2012

Series 6

Date: 4/26/1999

Series 26

Date: 4/23/1999

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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