Larry J. Schmidt
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.
Larry Jon Schmidt was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1969. Larry had worked at 11 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2009 - July 18, 2017
AMERITAS INVESTMENT COMPANY, LLC
March 17, 2009 - July 18, 2017
AMERITAS INVESTMENT COMPANY, LLC
September 15, 2005 - March 19, 2009
WOODBURY FINANCIAL SERVICES, INC.
October 23, 1991 - March 19, 2009
WOODBURY FINANCIAL SERVICES, INC.
January 22, 1991 - October 16, 1991
CARILLON INVESTMENTS, INC.
October 22, 1982 - March 29, 1989
SENTRY EQUITY SERVICES, INC.
December 8, 1980 - October 1, 1982
CONSECO EQUITY SALES, INC.
May 9, 1979 - August 2, 1982
ONEAMERICA SECURITIES, INC.
May 9, 1979 - August 2, 1982
AMERICAN UNITED LIFE INSURANCE COMPANY
May 3, 1977 - November 3, 1978
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
April 6, 1977 - September 22, 1978
NIES/BRAUER SECURITIES, INC.
May 21, 1969 - June 10, 1977
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 21, 1969 - June 10, 1977
OSAIC FA, INC.
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
Series 1
Date: 5/14/1969
Registered Representative ExaminationCurrent 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.
