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NW

Nicole Witherspoon

AMERITAS INVESTMENT COMPANY
MISHAWAKA, IN 46545
Some features on this profile are disabled
CRD#: 4023952
NW

Professional summary

Nicole Witherspoon, who also goes by Nicole Givens, is a registered financial advisor currently at AMERITAS INVESTMENT COMPANY, LLC located in Mishawaka, Indiana.

Nicole is registered as a RR (Registered Representative) and started their career in finance in 2003. Nicole has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicole Givens

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) - BD

Click below to view Nicole Witherspoon'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

November 11, 2009 - Present

AMERITAS INVESTMENT COMPANY, LLC

Office #1: 3930 Edison Lakes Parkway Ste 220, Mishawaka, IN 46545
BD
CRD#: 14869
MISHAWAKA, IN
Past

September 13, 2007 - December 3, 2007

SECURITIES AMERICA, INC.

BD
CRD#: 10205
GRANGER, IN
Past

May 10, 2005 - August 22, 2007

FSC SECURITIES CORPORATION

BD
CRD#: 7461
MERRILLVILLE, IN
Past

November 30, 2004 - April 1, 2005

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

November 30, 2004 - April 1, 2005

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

June 4, 2004 - October 4, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
CROWN POINT, IN
Past

April 13, 2004 - October 4, 2004

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

April 13, 2004 - October 4, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

January 2, 2004 - February 10, 2004

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

August 15, 2003 - January 6, 2004

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

August 15, 2003 - January 6, 2004

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Arizona
(6/18/2019)
RR
Arkansas
(6/18/2019)
RR
California
(6/19/2019)
RR
Colorado
(7/8/2019)
RR
Florida
(6/19/2019)
RR
Georgia
(12/4/2019)
RR
Illinois
(7/11/2019)
RR
Indiana
(11/12/2009)
RR
Massachusetts
(12/14/2022)
RR
Michigan
(6/20/2019)
RR
Minnesota
(7/19/2019)
RR
New York
(11/8/2022)
RR
North Carolina
(6/18/2019)
RR
Ohio
(6/18/2019)
RR
Pennsylvania
(6/18/2019)
RR
South Carolina
(7/31/2019)
RR
Texas
(6/19/2019)
RR
Virginia
(6/18/2019)
RR
Washington
(8/21/2023)
RR
Wisconsin
(2/16/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/2/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/13/2003
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AI
AMERITAS INVESTMENT COMPANY, LLC
AMERITAS ADVISORY SERVICES | THE ADVISORS GROUP (TAG) | SOWER SECURITIES CORP. | BLN INVESTMENT CORP. | AMERITAS INVESTMENT CORP. | AMERITAS INVESTMENT CORP | AMERITAS INVESTMENT COMPLANY, LLC | AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869 / SEC#: 801-undefined, 8-31296

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
5900 "o" Street, Lincoln, NE 68510
Mailing Address
Po Box 5507, Lincoln, NE 68505-0507
Phone number
(800) 335-9858
Established
Nebraska since 04/10/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE (9/16/2021)
PART 2A APPENDIX 1 OF FORM ADV - CONSTELLATION WRAP FEE PROGRAM BROCHURE (9/16/2021)
AMERITAS INVESTMENT STRATEGIES WRAP FEE PROGRAM BROCHURE (9/16/2021)
PART 2A APPENDIX 1 OF FORM ADV - MANAGED ACCOUNT SOLUTIONS PROGRAM BROCHURE (9/16/2021)
ADV PART 2A APPENDIX 1 OF FORM ADV-GALAXY II WRAP FEE BROCHURE (9/16/2021)
PART 2A APPENDIX 1 OF FORM ADV - GALAXY WRAP FEE PROGRAM BROCHURE (9/16/2021)

Direct owners and executive officers

NamePositionCRD#
AMERITAS LIFE INSURANCE CORP.BENEFICIAL OWNER
BEASLEY, RYAN CHARLESMEMBER BOARD OF DIRECTORS2943009
BERTHOLD, RICHARD AARONVICE PRESIDENT, OPERATIONS4433172
BIEL, ROLLIN LYNNFINANCIAL AND OPERATIONS PRINCIPAL5101711
HALVERSON, KELLY JAYMEMBER BOARD OF DIRECTORS7977580
KINSELLA, MATTHEW JOHNCHIEF COMPLIANCE OFFICER5217108
KORTE, BRENT FRAZIERMEMBER BOARD OF DIRECTORS4808103
ROBSON, JEREMY MICHAELPRESIDENT AND MEMBER BOARD OF DIRECTORS4147931
SCHUBAUER, TYLER JOSEPHCORPORATE SECRETARY6392775
SHERFFIUS, MARIA ELIZABETHSECOND VICE PRESIDENT - COMPLIANCE OFFICER2726500
WU, MICHELE XIAOMINGMEMBER BOARD OF DIRECTORS7863936

Disclosures

Regulatory Event21
Arbitration2

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.

Company Information

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869Mishawaka, IN 46545

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