Barbara W. Adams-plyer
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.
Barbara W Adams-plyer, who also goes by Barbara Weslie Adams-plyer, Barbara W Plyer, Barbara Weslai Plyer, Barbara Weslie Stein, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 2003. Barbara had worked at 5 firms and has passed the Series 66, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2012 - July 13, 2012
AMERITAS INVESTMENT COMPANY, LLC
January 21, 2010 - April 13, 2010
MML INVESTORS SERVICES, LLC
May 29, 2007 - January 24, 2008
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - January 24, 2008
CITIGROUP GLOBAL MARKETS INC.
January 12, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
January 12, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
April 6, 2004 - January 12, 2007
CITIGROUP GLOBAL MARKETS INC.
April 6, 2004 - January 12, 2007
CITIGROUP GLOBAL MARKETS INC.
December 19, 2003 - April 6, 2004
MORGAN STANLEY DW INC.
December 5, 2003 - April 6, 2004
MORGAN STANLEY DW 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
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.
