# EDGAR Filing Document

**Accession Number:** 0001052158
**File Stem:** 0001052158-26-000001
**Filing Date:** 2026-3
**Character Count:** 20909
**Document Hash:** 184ff28603b977a80de85018165b22ea
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001052158-26-000001.hdr.sgml**: 20260330

**ACCESSION NUMBER**: 0001052158-26-000001

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20251231

**FILED AS OF DATE**: 20260326

**DATE AS OF CHANGE**: 20260330

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Ameritas Investment Company, LLC /ADV
- **CENTRAL INDEX KEY:** 0001052158

**ORGANIZATION NAME:**
- **EIN:** 470663374
- **STATE OF INCORPORATION:** NE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-00365
- **FILM NUMBER:** 26812001

**BUSINESS ADDRESS:**
- **STREET 1:** 5900 O ST
- **CITY:** LINCOLN
- **STATE:** NE
- **ZIP:** 68510
- **BUSINESS PHONE:** 4024664565

**MAIL ADDRESS:**
- **STREET 1:** P O BOX 5507
- **CITY:** LINCOLN
- **STATE:** NE
- **ZIP:** 68505

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** AMERITAS INVESTMENT CORP /NE/                           /ADV
- **DATE OF NAME CHANGE:** 19971231

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001052158

**Filer CCC:** XXXXXXXX

**Contact Name:** Julie A. Schadt

**Contact Phone:** 402-465-6191

**Contact Email:** jschadt@ameritas.com

**Notification Emails:** msherffius@ameritas.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** Ameritas Investment Company, LLC /ADV

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 14869

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 47-0663374

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00271-00

- **Municipal Advisor:** SEC File No: 867-00365

- **Broker-Dealer:** SEC File No: 008-31296, CRD No: 14869

**E. Principal Office and Place of Business:** 5900 O ST, LINCOLN, NE, 68510

**Telephone Number:** 402-466-4565

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.ameritas.com

**G. Chief Compliance Officer (CCO):**

**Name:** Matthew John Kinsella

**Titles:** Chief Compliance Officer

**Address:** 5900 O Street, Lincoln, NE, 68510

**Phone Number:** 402-467-6931

**Email:** Matthew.Kinsella@ameritas.com

**H. Business Affiliates:**

- **Name:** Ameritas Investment Partners, Inc.

  - **Issuing Agency:** FINRA & SEC

  - **Jurisdiction:** 

- **Name:** Ameritas Advisory Seravices

  - **Issuing Agency:** SEC & FINRA 317245

  - **Jurisdiction:** 

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Liability Company (LLC)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** NE

**D. Date of Organization:** 04-10-1984

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 3

**B. Municipal Advisory Activities - Employees:** 1

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 1

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 0

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Hospitals
Colleges
Other
, Hospitals, Colleges, Other

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Fixed Fees
Contingent Fees
, Hourly Charges, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice Guaranteed IC, Advice Use Of MD, Advice On Selection

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** 

**Total Associated Persons:** 0

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** Yes

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** No

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** Yes

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** Yes

### Schedule A: Direct Owners and Executive Officers

| Name                          | Title/Status                       | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Ameritas Life Insurance Corp. | Beneficial Owner                   | 10-01-2006      | E - 75% or more   | Yes               | 47-0098400   |  |
| Maria Elizabeth Sherffius     | Second VP Compliance Officer       | 07-01-2006      | NA - less than 5% | Yes               |  | 2726500      |
| Ryan Charles Beasley          | Chairman                           | 12-11-2019      | NA - less than 5% | Yes               |  | 2943009      |
| Brent Frazier Korte           | Director                           | 04-10-2017      | NA - less than 5% | Yes               |  | 4808103      |
| Matthew J Kinsella            | Chief Compliance Officer           | 01-01-2021      | NA - less than 5% | Yes               |  | 5217108      |
| Richard Aaron Berthold        | Second Vice President, Operatoins  | 12-01-2021      | NA - less than 5% | Yes               |  | 4433172      |
| Tyler Joseph Schubauer        | Corporate Secretary                | 01-01-2024      | NA - less than 5% | No                |  | 63922775     |
| Michele Xiaoming Wu           | Board of Directors                 | 01-01-2024      | NA - less than 5% | Yes               |  | 7863936      |
| Rollin Lynn Biel              | Financial And Operations Principal | 02-29-2024      | NA - less than 5% | No                |  | 5101711      |
| Jeremy Michael Robson         | President                          | 01-20-2025      | NA - less than 5% | Yes               |  | 4147931      |

### Schedule B: Indirect Owners

| Owning Entity                 | Name                            | Title/Status   | Date Acquired   | Ownership Code   | Control Person?   | IRS Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Ameritas Life Insurance Corp. | Ameritas Holding Company        | Owner          | 01-01-1999      | E - 75% or more  | Yes               | 47-0806844   |
| Ameritas Holding Company      | Ameritas Mutual Holding Company | Owner          | 01-01-1999      | E - 75% or more  | Yes               | 47-0810165   |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity                 | Name                            | Title/Status                       | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | Ameritas Life Insurance Corp.   | Beneficial Owner                   | 10-01-2006      | E - 75% or more   | Yes               | 47-0098400   |  |
|  | Indirect    | Ameritas Life Insurance Corp. | Ameritas Holding Company        | Owner                              | 01-01-1999      | E - 75% or more   | Yes               | 47-0806844   |  |
|  | Indirect    | Ameritas Holding Company      | Ameritas Mutual Holding Company | Owner                              | 01-01-1999      | E - 75% or more   | Yes               | 47-0810165   |  |
|  | Direct      |  | Maria Elizabeth Sherffius       | Second VP Compliance Officer       | 07-01-2006      | NA - less than 5% | Yes               |  | 2726500      |
|  | Direct      |  | Ryan Charles Beasley            | Chairman                           | 12-11-2019      | NA - less than 5% | Yes               |  | 2943009      |
|  | Direct      |  | Brent Frazier Korte             | Director                           | 04-10-2017      | NA - less than 5% | Yes               |  | 4808103      |
|  | Direct      |  | Matthew J Kinsella              | Chief Compliance Officer           | 01-01-2021      | NA - less than 5% | Yes               |  | 5217108      |
|  | Direct      |  | Richard Aaron Berthold          | Second Vice President, Operatoins  | 12-01-2021      | NA - less than 5% | Yes               |  | 4433172      |
|  | Direct      |  | Tyler Joseph Schubauer          | Corporate Secretary                | 01-01-2024      | NA - less than 5% | No                |  | 63922775     |
|  | Direct      |  | Michele Xiaoming Wu             | Board of Directors                 | 01-01-2024      | NA - less than 5% | Yes               |  | 7863936      |
|  | Direct      |  | Rollin Lynn Biel                | Financial And Operations Principal | 02-29-2024      | NA - less than 5% | No                |  | 5101711      |
|  | Direct      |  | Jeremy Michael Robson           | President                          | 01-20-2025      | NA - less than 5% | Yes               |  | 4147931      |
| NewAdd | Direct      |  | Kelly J Halverson               | Member of Board of Directors       | 08-20-2025      | NA - less than 5% | Yes               |  | 7977580      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp.

- **CRD Number:** 14869

- **Disclosure Number:** 1342391

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp.

- **CRD Number:** 14869

- **Disclosure Number:** 1369893

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp.

- **CRD Number:** 14869

- **Disclosure Number:** 1413398

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp.

- **CRD Number:** 14869

- **Disclosure Number:** 1449051

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp.

- **CRD Number:** 14869

- **Disclosure Number:** 1502035

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp.

- **CRD Number:** 14869

- **Disclosure Number:** 1513064

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp

- **CRD Number:** 14869

- **Disclosure Number:** 1544042

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp

- **CRD Number:** 14869

- **Disclosure Number:** 1704318

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp.

- **CRD Number:** 14869

- **Disclosure Number:** 997192

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp

- **CRD Number:** 14869

- **Disclosure Number:** 1158713

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** Oscar Albert Sandberg

  - **CRD Number:** 410036

  - **Filed On (AP):** Form ADV/BD/U4 for Ameritas Investment Corp

  - **Disclosure Number:** 1195229

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** Oscar Albert Sandberg

  - **CRD Number:** 410036

  - **Filed On (AP):** Form ADV/BD/U4 for Ameritas Investment Corp.

  - **Disclosure Number:** 1195228

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** Billie Bruce Beavers

  - **CRD Number:** 14869

  - **Filed On (AP):** Form ADV/BD/U4 for Ameritas Investment Corp

  - **Disclosure Number:** 637204

  - **Associated Person:** Michael Mead VanHorne

  - **CRD Number:** 14869

  - **Filed On (AP):** Form ADV/BD/U4 for Ameritas Investment Corp

  - **Disclosure Number:** 637204

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas investment Corp.

- **CRD Number:** 14869

- **Disclosure Number:** 1833556

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp.

- **CRD Number:** 14869

- **Disclosure Number:** 1826134

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp

- **CRD Number:** 14869

- **Disclosure Number:** 1826658

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp

- **CRD Number:** 14869

- **Disclosure Number:** 1767584

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp

- **CRD Number:** 14869

- **Disclosure Number:** 1760580

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp.

- **CRD Number:** 14869

- **Disclosure Number:** 1903966

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp.

- **CRD Number:** 14869

- **Disclosure Number:** 1917282

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp

- **CRD Number:** 14869

- **Disclosure Number:** 1936440

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp.

- **CRD Number:** 14869

- **Disclosure Number:** 1936439

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp

- **CRD Number:** 14869

- **Disclosure Number:** 1958143

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp

- **CRD Number:** 14869

- **Disclosure Number:** 2020059

**Regulatory DRP for: Applicant (Responding to Questions: 9-D5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Corp

- **CRD Number:** 14869

- **Disclosure Number:** 2031541

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Company, LLC

- **CRD Number:** 14869

- **Disclosure Number:** 2067360

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Company, LLC

- **CRD Number:** 14869

- **Disclosure Number:** 2093048

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Company

- **CRD Number:** 14869

- **Disclosure Number:** 1014345

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Company, LLC

- **CRD Number:** 14869

- **Disclosure Number:** 2125474

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Ameritas Investment Company, LLC

- **CRD Number:** 14869

- **Disclosure Number:** 2182102

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 14869

  - **Filed On (AP):** Form ADV/BD/U4 for Ameritas Investment Company, LLC

  - **Disclosure Number:** 2346205

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 14869

  - **Filed On (AP):** Form ADV/BD/U4 for Ameritas Investment Company, LLC

  - **Disclosure Number:** 2329669

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 14869

  - **Filed On (AP):** Form ADV/BD/U4 for Ameritas Investment Company, LLC

  - **Disclosure Number:** 2329667

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 14869

  - **Filed On (AP):** Form ADV/BD/U4 for Ameritas Investment Company, LLC

  - **Disclosure Number:** 2329668

### Execution Page

**Signature:** Michael Shoemaker

**Signer Name:** Michael Shoemaker

**Title:** VP and Managing Direct, Capital Markets

**Date:** 03-26-2026

**CRD Number:** 1548095