Brian J. Overby
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.
Brian J Overby, who also goes by Brian Jay Overby, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1998. Brian had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2017 - January 12, 2018
AMERITAS INVESTMENT COMPANY, LLC
March 23, 2017 - January 12, 2018
AMERITAS INVESTMENT COMPANY, LLC
February 3, 2015 - March 23, 2016
BANCWEST INVESTMENT SERVICES, INC.
February 2, 2015 - March 23, 2016
BANCWEST INVESTMENT SERVICES, INC.
October 22, 2014 - November 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 17, 2014 - November 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 7, 2014 - September 10, 2014
CETERA INVESTMENT ADVISERS LLC
April 19, 2013 - January 30, 2014
CETERA INVESTMENT SERVICES LLC
April 12, 2013 - September 10, 2014
CETERA INVESTMENT SERVICES LLC
February 22, 2007 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
February 13, 2007 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
September 25, 2003 - February 21, 2007
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
March 14, 2003 - September 22, 2003
AMSOUTH INVESTMENT SERVICES, INC.
March 14, 2001 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
October 14, 1998 - February 28, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
