James E. Schroth
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.
James Edward Schroth, who also goes by Jim Schroth, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 26, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2022 - December 19, 2022
AMERITAS INVESTMENT COMPANY, LLC
November 17, 2014 - February 28, 2022
W&S BROKERAGE SERVICES, INC.
April 7, 2014 - July 3, 2014
PRUCO SECURITIES, LLC.
March 14, 2014 - July 3, 2014
PRUCO SECURITIES, LLC.
June 5, 2013 - November 21, 2013
VALIC FINANCIAL ADVISORS, INC.
August 4, 2005 - July 13, 2012
ALLSTATE FINANCIAL SERVICES, LLC
October 28, 2003 - June 16, 2005
A. G. EDWARDS & SONS, INC.
January 2, 2001 - June 16, 2005
A. G. EDWARDS & SONS, INC.
October 1, 1999 - January 26, 2001
UBS FINANCIAL SERVICES INC.
October 8, 1997 - October 15, 1999
J.C. BRADFORD & CO.
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.
