CT
Charlie E. Taylor
AMERITAS INVESTMENT COMPANY
Lincoln, NE 68510
Some features on this profile are disabled
CRD#: 4507015
CT
Professional summary
Charlie Earl Taylor, who also goes by Chuck Taylor, is a registered financial professional currently at AMERITAS INVESTMENT COMPANY, LLC located in Lincoln, Nebraska.
Charlie is registered as a RR (Registered Representative) and started their career in finance in 2002. Charlie has worked at 5 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chuck Taylor
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.
CRS (Client Relationship Summary) - BD
Click below to view Charlie Earl Taylor's 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®
NoneExperience
Current
October 9, 2015 - Present
AMERITAS INVESTMENT COMPANY, LLC
Office #1: 5900 "o" Street, Lincoln, NE 68510BD
CRD#: 14869
Lincoln, NE
Past
December 10, 2004 - August 4, 2015
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
June 24, 2003 - December 6, 2004
ALFS, INC.
BD
CRD#: 32201
NORTHBROOK, IL
Past
May 7, 2002 - July 26, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
OMAHA, NE
Past
April 8, 2002 - July 26, 2002
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 8, 2002 - July 26, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Alabama(3/5/2019)
RR
Alaska(3/5/2019)
RR
Arkansas(3/5/2019)
RR
California(3/5/2019)
RR
Colorado(3/5/2019)
RR
Florida(4/23/2019)
RR
Georgia(3/5/2019)
RR
Illinois(4/23/2019)
RR
Indiana(4/23/2019)
RR
Iowa(3/5/2019)
RR
Kansas(4/23/2019)
RR
Kentucky(4/23/2019)
RR
Massachusetts(3/5/2019)
RR
Michigan(4/23/2019)
RR
Minnesota(4/23/2019)
RR
Missouri(4/23/2019)
RR
Nebraska(10/9/2015)
RR
Nevada(3/5/2019)
RR
New Mexico(3/5/2019)
RR
North Dakota(4/23/2019)
RR
Ohio(3/5/2019)
RR
Rhode Island(3/5/2019)
RR
South Dakota(10/15/2015)
RR
Tennessee(4/23/2019)
RR
Texas(10/16/2015)
RR
Utah(3/5/2019)
RR
Wisconsin(4/23/2019)
RR
Wyoming(4/23/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
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.
Company Information
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869Lincoln, NE 68510TRUST BUT VERIFY
Monitor Charlie Taylor
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
