Victor M. Saier
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.
Victor Michael Saier, who also goes by Mike Saier, VIctor M Saier, was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 1978. Victor had worked at 6 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 1999 - September 15, 1999
AMERITAS INVESTMENT COMPANY, LLC
April 3, 1996 - January 14, 1998
WOODBURY FINANCIAL SERVICES, INC.
October 7, 1993 - December 31, 1994
WOODBURY FINANCIAL SERVICES, INC.
April 1, 1992 - August 21, 1992
WOODBURY FINANCIAL SERVICES, INC.
February 6, 1990 - December 31, 1990
VOYA FINANCIAL ADVISORS, INC.
October 17, 1986 - April 20, 1989
SG EQUITIES CORPORATION
September 14, 1984 - September 29, 1986
TNE INVESTMENT SERVICES CORPORATION
August 24, 1978 - April 18, 1983
AMERICAN GENERAL EQUITY SERVICES 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
Series 1
Date: 8/16/1978
Registered Representative ExaminationCurrent 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.
