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MUTUAL OF OMAHA INVESTOR SERVICES, INC.
MOFA, MUTUAL OF OMAHA INVESTOR SERVICES, INC., MUTUAL OF OMAHA FUND MANAGEMENT COMPANY, MUTUAL OF OMAHA FINANCIAL ADVISORS, MUTUAL OF OMAHA ADVISORS…
CRD#: 611/SEC#: 801-61332,8-47290
B
Brokerage Firm Regulated by FINRA (Kansas City district office)
IA
Investment Adviser FirmVisit SEC Site
MAIN ADDRESS
3300 MUTUAL OF OMAHA PLAZA
OMAHA, NE 68175-1020 UNITED STATES
Disclosures
14 Total Disclosures
4Regulatory Event2Arbitration8Bond
For details of these disclosures as well as disclosures involving non-registered affiliated entities refer to the Detailed Report. For disclosures involving registered affiliated entities visit the BrokerCheck page for those firms.
General Information
Main Office Location 3300 MUTUAL OF OMAHA PLAZA
OMAHA, NE 68175-1020 UNITED STATES
Mailing Address 3300 MUTUAL OF OMAHA PLAZA
OMAHA, NE 68175-1020 UNITED STATES
Phone402-351-3102
Established inNebraska since 09/01/1993
TypeCorporation
Fiscal Year End December
Direct Owners and Executive Officers
NamePosition
MUTUAL OF OMAHA HOLDINGS INC. OWNER
BEES, EVAN RICHARD (CRD#:4662845) PRINCIPAL FINANCIAL OFFICER
HUGHES, BRIANA DAWN (CRD#:4268240) CHIEF COMPLIANCE OFFICER
PROSKOVEC, ADAM D (CRD#:4957628) PRESIDENT AND PRINCIPAL OPERATIONS OFFICER
MUTUAL OF OMAHA HOLDINGS INC.
OWNER

PRINCIPAL FINANCIAL OFFICER

CHIEF COMPLIANCE OFFICER

PRESIDENT AND PRINCIPAL OPERATIONS OFFICER

Licenses
53 U.S. States and Territories
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Alabama

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Alaska

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Arizona

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Arkansas

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California

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Colorado

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Connecticut

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Delaware

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District of Columbia

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Florida

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Georgia

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Hawaii

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Idaho

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Illinois

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Indiana

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Iowa

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Kansas

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Kentucky

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Louisiana

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Maine

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Maryland

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Massachusetts

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Michigan

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Minnesota

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Mississippi

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Missouri

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Montana

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Nebraska

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Nevada

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New Hampshire

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New Jersey

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New Mexico

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New York

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North Carolina

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North Dakota

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Ohio

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Oklahoma

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Oregon

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Pennsylvania

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Puerto Rico

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Rhode Island

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South Carolina

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South Dakota

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Tennessee

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Texas

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Utah

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Vermont

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Virgin Islands

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Virginia

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Washington

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West Virginia

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Wisconsin

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Wyoming

Other Registrations
Federal
SEC

Self-Regulatory Organizations
FINRA
This firm conducts 14 types of business

This firm is not affiliated with financial and investment institutions

This firm does have referral or financial arrangements with other brokers or dealers
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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