Charles L. Maines
Professional summary
Charles Louis Maines, who also goes by Chuck Maines, is a registered financial professional currently at AMERITAS INVESTMENT COMPANY, LLC located in Cincinnati, Ohio.
Charles is registered as a RR (Registered Representative) and started their career in finance in 2002. Charles has worked at 5 firms and has passed the Series 63, SIE, Series 6TO and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Louis Maines's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 16, 2019 - Present
AMERITAS INVESTMENT COMPANY, LLC
Office #1: 1880 Waycross Road, Cincinnati, OH 45240May 24, 2012 - November 17, 2015
TOUCHSTONE SECURITIES, INC.
March 25, 2009 - May 22, 2012
CINCINNATI ANALYSTS, INC.
June 14, 2007 - April 17, 2008
AUGUSTAR DISTRIBUTORS, INC.
September 2, 2002 - June 14, 2007
THE O.N. EQUITY SALES COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/16/2019)
Exams
Series 6TO
Date: 12/16/2019
Investment Company Products/Variable Contracts 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
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Company Information
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869Cincinnati, OH 45240TRUST BUT VERIFY
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