Heather M. Neubauer
Professional summary
Heather Michele Neubauer, who also goes by Heather Michele Fieldgrove, Heather Michele Little, Heather Michele Neubauer, Heather Machele Neubauer, Heather Michele Rosenkrans, is a registered financial professional currently at AMERITAS INVESTMENT COMPANY, LLC located in Lincoln, Nebraska.
Heather is registered as a RR (Registered Representative) and started their career in finance in 2008. Heather has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Heather Michele Neubauer's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 19, 2025 - Present
AMERITAS INVESTMENT COMPANY, LLC
Office #1: 5900 "o" Street, Lincoln, NE 68510-2234January 16, 2024 - June 18, 2025
CETERA WEALTH SERVICES, LLC
March 25, 2022 - January 8, 2024
TD AMERITRADE CLEARING, INC.
March 16, 2022 - January 8, 2024
CHARLES SCHWAB & CO., INC.
February 3, 2021 - November 22, 2021
WOODBURY FINANCIAL SERVICES, INC.
February 3, 2021 - November 22, 2021
TRIAD ADVISORS LLC
February 3, 2021 - November 22, 2021
OSAIC SERVICES, INC.
February 3, 2021 - November 22, 2021
OSAIC WEALTH, INC.
February 3, 2021 - November 22, 2021
FSC SECURITIES CORPORATION
August 22, 2016 - November 22, 2021
SECURITIES AMERICA, INC.
February 4, 2008 - October 14, 2015
TD AMERITRADE, 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
(6/19/2025)
Exams
FINRA
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#: 14869Lincoln, NE 68510-2234TRUST BUT VERIFY
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