Stan B. Plocharczyk
Professional summary
Stan Bernard Plocharczyk, who also goes by Stanley Bernard Plocharczyk, is a registered financial professional currently at AMERITAS INVESTMENT COMPANY, LLC located in Naples, Florida.
Stan is registered as a RR (Registered Representative) and started their career in finance in 1970. Stan has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stan Bernard Plocharczyk's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2006 - Present
AMERITAS INVESTMENT COMPANY, LLC
June 30, 2006 - October 4, 2011
AMERITAS INVESTMENT COMPANY, LLC
August 9, 1996 - June 30, 2006
CARILLON INVESTMENTS, INC.
October 9, 1985 - June 30, 2006
CARILLON INVESTMENTS, INC.
February 9, 1984 - June 26, 1989
NATHAN & LEWIS SECURITIES, INC.
April 19, 1983 - February 27, 1984
ADVANTAGE CAPITAL CORPORATION
March 23, 1983 - January 4, 1984
RELIASTAR FINANCIAL MARKETING CORP.
October 20, 1980 - September 6, 1984
EQUITABLE ADVISORS, LLC
July 1, 1970 - September 6, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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)
(1/5/2009)
(9/2/2010)
(6/3/2008)
(6/30/2006)
(4/16/2019)
(4/30/2015)
(7/8/2008)
(6/30/2006)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 6/23/1970
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.
