Samuel F. Harshbarger
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.
Samuel Frank Harshbarger was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 2007. Samuel had worked at 6 firms and has passed the Series 66, SIE 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
February 3, 2015 - May 8, 2015
AMERITAS INVESTMENT COMPANY, LLC
February 3, 2015 - May 8, 2015
AMERITAS INVESTMENT COMPANY, LLC
August 20, 2013 - January 22, 2015
WELLS FARGO CLEARING SERVICES, LLC
August 20, 2013 - January 22, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 15, 2013 - August 5, 2013
ONEAMERICA SECURITIES, INC.
May 15, 2013 - August 5, 2013
ONEAMERICA SECURITIES, INC.
January 24, 2013 - April 29, 2013
EQUITABLE ADVISORS, LLC
January 23, 2013 - April 29, 2013
EQUITABLE ADVISORS, LLC
June 10, 2010 - November 28, 2012
PNC WEALTH MANAGEMENT LLC
June 10, 2010 - November 28, 2012
PNC WEALTH MANAGEMENT LLC
April 24, 2007 - January 19, 2010
THE HUNTINGTON INVESTMENT COMPANY
February 8, 2007 - January 19, 2010
THE HUNTINGTON INVESTMENT 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
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.
