Thomas N. Simpson
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.
Thomas Nicholas Simpson was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1979. Thomas had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2012 - April 8, 2015
AMERITAS INVESTMENT COMPANY, LLC
September 16, 2005 - April 7, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 4, 2001 - January 6, 2005
AMERITAS INVESTMENT COMPANY, LLC
September 3, 1999 - September 8, 2000
AFD, INC.
April 18, 1996 - December 10, 1997
FIRST VARIABLE CAPITAL SERVICES, INC.
October 1, 1995 - November 22, 1995
VOYA FINANCIAL ADVISORS, INC.
March 7, 1988 - March 22, 1988
THE HOUSE OF SECURITIES COMPANY
January 7, 1988 - October 1, 1995
RELIASTAR FINANCIAL MARKETING CORP.
December 26, 1986 - October 15, 1987
C.A.L. INVESTMENT SERVICES INC.
February 6, 1986 - October 7, 1986
GULLEDGE SECURITIES CORPORATION
July 21, 1984 - August 9, 1985
LINCOLN NATIONAL PENSION INSURANCE COMPANY
July 11, 1984 - December 2, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
March 15, 1983 - June 21, 1984
UR FINANCIAL, INC.
December 17, 1981 - January 25, 1983
INTEGRATED RESOURCES EQUITY CORPORATION
March 15, 1979 - January 30, 1982
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 15, 1979 - March 5, 1982
SIGNATOR INVESTORS, 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
Exams
Series 1
Date: 3/13/1979
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.
