Ameritas Investment Company, LLC Member FINRA/SIPC

Ameritas Advisory Services, LLC

Ratings and Awards

Financial professionals may receive industry or other awards from an independent third-party. Criteria for qualification for these awards vary. Please reference the award listed below to review disclosures pertaining to their requirements for qualification.

Million Dollar Round Table

Million Dollar Round Table (MDRT) is an independent membership organization of life insurance and financial service professionals. Membership levels are based on commissions, premiums, or fees generated within a year from investment and insurance products. Members must apply annually and pay a fee. Members must be in good standing of a Professional Association which has met the following criteria: in existence at least two years, have 100 or more members, must be a nonprofit organization, must have a code of ethics and an effective means of dealing with breaches of its code. Members must also adhere to the MDRT Code of Ethics. Membership does not imply a certain level of skill or training.

Membership Requirements

Five Star Professional Award

The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on ten objective criteria. Eligibility criteria required: (a) Credentialed as a registered investment adviser or a registered investment adviser representative; (b) Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of five years; (c) Favorable regulatory and complaint history review (as defined by Five Star Professional, the wealth manager has not; (i) Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; (ii) Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one clients’ experience; (iii) Individually contributed to a financial settlement of a customer complaint; (iv) Filed for personal bankruptcy within the past 11 years; (v) Been terminated from a financial services firm within the past 11 years; (vi) Been convicted of a felony); (d) Fulfilled their firm review based on internal standards; (e) Accepting new clients. Evaluation criteria considered: (f) One-year client retention rate; (g) Five-year client retention rate; (h) Non-institutional discretionary and/or non-discretionary client assets administered; (i) Number of client households served; (j) Education and professional designations.

Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their clients’ assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future.

For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com.

Disclosures by city

FORBES/SHOOK Best-In-State Top Financial Security Professional

Data provided by SHOOK^® Research, LLC. Data as of 12/31/22. Source: Forbes.com (July, 2023)

Neither SHOOK nor Forbes receives any compensation in exchange for placement on its Top Financial Security Professional (FSP) rankings, which are determined independently (see methodology). FSP refers to professionals who are properly licensed to sell life insurance and annuities. FSPs may also hold other credentials and licenses which would allow them to offer investments and securities products through those licenses. Ranking algorithm is based on qualitative measures learned through telephone, virtual and in-person interviews to measure best practices. Also considered: client retention, industry experience, credentials, review of compliance records, firm nominations; and quantitative criteria, such as: assets under management, sales figures and revenue generated for their firms. Investment performance is not a criterion because client objectives and risk tolerances vary, and audited performance reports are rare. Individuals must carefully choose the right FSP for their own situation and perform their own due diligence. SHOOK’s research and rankings provide opinions intended to help individuals choose the right FSP and are not indicative of future performance or representative of any one client’s experience. Past performance is not an indication of future results. For more information, please see SHOOKresearch.com. SHOOK is a registered trademark of SHOOK Research, LLC.

Methodology: Forbes Best-In-State Wealth Advisors 2023

National Association of Insurance and Financial Advisors (NAIFA) awards

NAIFA Hall of Fame

This award honors NAIFA members whose service and contributions represent the legacy of the most accomplished, impactful and inspirational members of the NAIFA family. The inductees are selected based on the committee’s assessment of their service to NAIFA, professional achievements, leadership, association and industry recognition, tenure of membership and years of experience, and ethical conduct.

NAIFA Hall of Fame Award

Advisor Today’s 4 Under 40

This award, sponsored by Advisor Today magazine, recognizes 4 financial professionals who achieve excellence in their profession by or before the age of 40. Recipients are leaders, are successful and committed to their community, family and team. Recipients can apply or be nominated by a peer. Recipients must be a NAIFA member at the time of application deadline and award recognition.

Advisor Today’s 4 Under 40

John Newton Russell Memorial Award

This award is awarded to a nominee who shows outstanding character, dedication to the profession and meritorious service. The recipient is selected by a committee of industry representatives and past winners after a review of submit bios and testimonies which are submitted by the nominee’s peers. Nominations are open to anyone who the peer believes is highly qualified, and exhibits the character, leadership qualities, contributions to the profession and American families as exemplified by the award’s namesake.

NAIFA - John Newton Russell Memorial Award

NAIFA Quality Award

Financial professionals can apply for this award which demonstrates a commitment to excellence by showing professionalism through education and earned designations; production measured by performance metrices customized for each practice specialty; adherence to the NAIFA code of ethics; and service to your industry association. Financial professionals can apply in one of the following areas: Life & Annuities; Financial Advising & Investments; Health & Employee Benefits; and Multiline Sales.

NAIFA Quality Award

YAT Leader of the Year

This award recognizes an advisor’s commitment to NAIFA including service on their local, state and national committees. In addition, nominees will be evaluated on their participation in the Leadership in Life Institute; involvement in state or legislative efforts; participation in external service work; and an ability to inspire others. The winner is selected by a committee of their peers.

YAT Leader Nominations

Diversity Champion

This award recognizes exceptional efforts to promote the full and equal participation of diverse people within the industry. NAIFA members in good standing are eligible to apply. The nominee will be considered based on the following: creates and promotes diverse and inclusive workplaces; raises awareness and fosters communication within the financial services industry and the community; supports inclusion and encourages diverse individuals to reach their professional goals; fosters awareness and a commitment to diversity and inclusion within the NAIFA membership; and provides insurance and financial services in underserved and diverse markets.

Diversity Champion Nomination

Terry Headley Lifetime Defender Award

This award recognizes a current NAIFA member who shows exemplary service to their profession, colleagues and clients through their political advocacy and contributions to IFAPAC. Nominees should be current members who exhibit a commitment to advancing the legislative agendas of agents, advisors and their clients. The recipient is chosen by a committee of industry representatives.

Terry Headley Lifetime Defender Award

Ameritas Life Insurance Corp. Awards

Representatives of AIC and/or AAS, who are also licensed insurance agents with affiliate Ameritas Life Insurance Corp., are eligible for sales-based awards. These awards include, but are not limited to, Crystal Trophy, President’s Trophy, $500,000 Club Cup Trophy and attendance at incentive conferences and events such as Leaders Conference and Summit. These sales-based awards are based upon levels of life insurance commissions, securities commissions or advisory fees earned rather than any particular level of education, skill or experience.

Ameritas Hall of Fame

The Ameritas Hall of Fame recognizes those members of our field force who, over the course of their careers, have exhibited outstanding leadership qualities in sales, professional contributions to the industry and to Ameritas. Candidates are nominated by field or home office associates, must have been contracted with Ameritas for a minimum of 15 years and meet minimum criteria based on sales performance, professional development, involvement in Ameritas committees and community involvement and leadership. Receipt of this award does not imply a certain level of skill or training.  

Lester A Rosen Award

The Lester A. Rosen award is given to a financial professional who has achieved professional success while maintaining a high level of commitment to community service. The recipient of this award is nominated by their peers and final selection is determined by Ameritas Life Insurance Corp. Receipt of this award does not imply a certain level of skill or training.