Sandy D. Lake
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.
Sandy Denise Lake, who also goes by Sandy Denise Groeschner, Sandy Denise Robertson, Sandy Denise Willoughby, was a registered financial professional .
Sandy is a previously registered financial professional and started their career in finance in 2006. Sandy had worked at 7 firms and has passed the Series 66 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
November 8, 2013 - September 23, 2014
AMERITAS INVESTMENT COMPANY, LLC
September 20, 2013 - September 23, 2014
AMERITAS INVESTMENT COMPANY, LLC
August 7, 2012 - September 19, 2013
VALIC FINANCIAL ADVISORS, INC.
August 6, 2012 - September 19, 2013
VALIC FINANCIAL ADVISORS, INC.
March 22, 2010 - June 19, 2012
USAA FINANCIAL PLANNING SERVICES
March 2, 2010 - June 19, 2012
USAA FINANCIAL ADVISORS, INC.
April 3, 2008 - March 3, 2009
INVEST FINANCIAL CORPORATION
April 2, 2008 - March 3, 2009
INVEST FINANCIAL CORPORATION
September 7, 2006 - April 2, 2008
EDWARD JONES
September 5, 2006 - April 2, 2008
EDWARD JONES
March 28, 2006 - September 20, 2006
FSC SECURITIES CORPORATION
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.
