Randy Stuart Herz

Employer firm

Ameritas Advisory Services, LLC CRD 317245

$13.7B regulatory AUM 1,086 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Ameritas Advisory Services, Llc

5900 O Street, Lincoln, NE 68510 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2021-11-01

CT RA
APPROVED

Since 2021-11-01

Branch Locations

Avon, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ameritas Investment Corp.	Lincoln	NE	06/2006	Present
Ameritas Life Insurance	Lincoln	NE	06/2006	Present
Herz Financial, Llc	West Hartford	CT	05/1998	Present
Ameritas Advisory Services, Llc	Lincoln	NE	11/2021	Present

06/2006 → Present

Ameritas Investment Corp.

Lincoln, NE
06/2006 → Present

Ameritas Life Insurance

Lincoln, NE
05/1998 → Present

Herz Financial, Llc

West Hartford, CT
11/2021 → Present

Ameritas Advisory Services, Llc

Lincoln, NE

Previous Registrations

2001-08-10 → 2006-06-30

Carillon Investments, Inc.

Farmington, CT

Farmington, CT

Other Businesses

LICENSED AS AN IND INS AGT TO SELL FIXED INS PRODUCTS * HERZ FINANCIAL, LLC, same as branch, Non-Inv rel, Insurance, Partner, start date = 05/1998, hrs/mo = 160, trading hrs/mo = 125, management and sales

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-15
S63	Uniform Securities Agent State Law Examination	1996-09-05

S65 Uniform Investment Adviser Law Examination

1999-12-15
S63 Uniform Securities Agent State Law Examination

1996-09-05

View on SEC IAPD