Howard L. Barto

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CRD#: 802827

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.

Howard Lee Barto was a registered financial professional .

Howard is a previously registered financial professional and started their career in finance in 1974. Howard had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

LICENSED AS AN INDEPENDENT INSURANCE AGENT TO SELL FIXED INSURANCE PRODUCTS; *PET INSURANCE AGENCY OF AMERICA; SAME AS BRANCH; NON-INV REL; SALES OF PET INSURANCE TO EMPLOYER AND ASSOCIATION GROUPS; OWNER; START DATE=04/2010; HRS/MO=2; TRADING HRS/MO=2; SALES OF PET INSURANCE; *DAVID WHITE & ASSOCIATES; SAME AS BRANCH; INV REL; INSURANCE SALES; ADVISOR; START DATE=04/1973; HRS/MO=160; TRADING HRS/MO=100; SALES AGENT; *Cancer Guardian Comprehensive Cancer Support; same as branch; non-inv rel; comprehensive cancer support program designed to provide an individual and family with the dedicated resources, technology and genetic testing needed to effectively navigate cancer while improving chances of survival; Agent; start date=09/2020; hrs/mo=2; trading hrs/mo=1; soliciting individuals to consider the program to supplement their medical insurance services to create awareness of genetic cancer probabilities and, if diagnosed, to provide access to confirmation of it and specific treatment options; *Barto/Lucas Insurance & Financial Services; same as branch; inv rel; within our normal business practice with David White & Associates and specifically with our work with the California Judges Association, we would like to use Barto/Lucas for its brand name recognition; Partner; start date=09/2020; hrs/mo=40; trading hrs/mo=40; insurance sales

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 1, 2021 - August 11, 2022

AMERITAS ADVISORY SERVICES, LLC

RIA

CRD#: 317245

San Ramon, CA

Past

January 2, 2018 - November 1, 2021

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

SAN RAMON, CA

Past

June 30, 2006 - December 31, 2017

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

SAN RAMON, CA

Past

June 30, 2006 - August 11, 2022

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

SAN RAMON, CA

Past

May 11, 1999 - June 30, 2006

CARILLON INVESTMENTS, INC.

RIA

CRD#: 14646

DANVILLE, CA

Past

October 26, 1998 - June 30, 2006

CARILLON INVESTMENTS, INC.

CRD#: 14646

DANVILLE, CA

Past

December 20, 1993 - January 21, 1999

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

May 17, 1991 - December 10, 1991

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

May 24, 1990 - December 11, 1990

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

August 25, 1989 - May 29, 1990

FIRST AFFILIATED SECURITIES

CRD#: 23737

LA JOLLA, CA

Past

October 4, 1988 - August 25, 1989

PFG SECURITIES, INC.

CRD#: 15401

Past

November 12, 1974 - August 12, 1988

WASHINGTON NATIONAL EQUITY COMPANY

CRD#: 4242

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AMERITAS ADVISORY SERVICES, LLC

CRD#: 317245 / SEC#: 801-55153

RIA

Registered Investment Advisory firm - (1/13/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/1/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/1/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 11/7/1974

Registered Representative Examination

Current Firm

AMERITAS ADVISORY SERVICES, LLC

CRD#: 317245 / SEC#: 801-55153

RIA

Registered Investment Advisory firm - (1/13/1998 Approved)

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Contact information

Main Address

5900 O Street, Lincoln, NE 68510

Mailing Address

Phone number

(800) 335-9858

Established

Firm type

Fiscal year end

# of Employees

560

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (9/19/2025)

AMERITAS INVESTMENT STRATEGIES WRAP BROCHURE (9/19/2025)

AMERITAS WEALTH PLATFORM (9/19/2025)

GALAXY WRAP FEE BROCHURE (9/19/2025)

GALAXY II WRAP FEE BROCHURE (9/19/2025)

CONSTELLATION WRAP FEE PROGRAM (9/19/2025)

Regulatory assets under management

Total Number of Accounts	41,501
AUM (Assets Under Management)	$ 11,506,548,514

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
07/23/2024	Cover Page	Report
07/27/2023	Cover Page	Report

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.

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Firm Stability Insights

Howard L. Barto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

CARILLON INVESTMENTS, INC.

CARILLON INVESTMENTS, INC.

SENTRA SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

FIRST AFFILIATED SECURITIES

PFG SECURITIES, INC.

WASHINGTON NATIONAL EQUITY COMPANY

Primary Firm SEC Registration

AMERITAS ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/1/1999

Series 63

Date: 4/1/1999

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 11/7/1974

Current Firm

AMERITAS ADVISORY SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

AMERITAS ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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