Mutual Of Omaha Investor Services, Inc. (Omaha)

Name: Mutual Of Omaha Investor Services, Inc.
Address: 3300 Mutual Of Omaha Plaza, Omaha, NE, 68175 1020
Telephone: 402-351-5770

Mutual Of Omaha Investor Services, Inc. is a multi-state adviser based in Omaha. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Mutual Of Omaha Investor Services provides financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Mutual Of Omaha Investor Services, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Richard William Healey serves?

The firm provides services to individuals, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Richard William Healey is individuals with 4,230 clients and $0 of assets under management. Among the 4 most similar advisory firms, Mutual Of Omaha Investor Services has the highest percentage of individuals out of all clients.

None of the firm’s clients are foreign persons or businesses.

Mutual Of Omaha Investor Services doesn't advise any private funds.

Careers at Mutual Of Omaha Investor Services, Inc.

The company employs 375 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 375 employees are registered as investment adviser representatives with the state securities authorities.

There are 2 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Richard William Healey has been acting as President since 1 May 2016. Adam D Proskovec joined the executive team most recently as the Vice President And Principal Operations Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
John William Weekly	Chairman of the board	1 Oct 1993	Other	1473621
Mary Jane Huerter	Director/secretary	1 Oct 1993	Other	1822215
William Joseph Bluvas	Vp finance & treasurer - finop- chief compliance officer	1 Oct 1993	Other	24298
Linda Kay Augustyn	Vp sales, marketing, & communication	1 Dec 1995	Other	274700
Richard Allen Witt	President/director	1 May 1996	Other	2755587
Mutual Of Omaha Holdings Inc.	Owner	1 Jan 1997	75% - 100%	91-1756928
Randy Craig Horn	Director	1 Nov 1999	Other	4096082
John Ashley Sturgeon	Director	1 Mar 2000	Other	1473617
Terrance Shawn Dewald	Vice president/director	1 Jan 2002	Other	3173980
Daniel Paul Neary	Director	1 Oct 2003	Other	4725682
Michael Edward Huss	Vice president	1 Jun 2004	Other	xxx-xx-xxxx
Michael Anthony Larkin	Chief compliance officer	1 Jun 2005	Other	2759613
Michael Anthony Larkin	Vice president, chief compliance officer	1 Apr 2007	Other	2759613
Amy Joan Saar Owens	Vice president and assistant treasurer	1 Apr 2007	Other	1223854
Amy Joan Saar Owens	President, asst. secr. & treas., finop	1 Apr 2009	Other	1223854
Amy Joan Saar Owens	Vice president, asst. secr. & treas., finop	1 Sep 2009	Other	1223854
Keith James Kelly	President	1 Sep 2009	Other	2618812
Richard C Anderl	Director	1 Jan 2010	Other	4502157
John Lee Haver	Director	1 Jan 2010	Other	4180468
Daniel Paul Martin	Director	1 Jan 2010	Other	5789351
David Andrew Diamond	Director	1 Jan 2010	Other	5789356
Amy Joan Saar Owens	President, finop	1 Sep 2010	Other	1223854
Kevin P Mccoy	Treasurer	1 Mar 2011	Other	5907589
Michael Joseph Jareske	Treasurer	1 May 2011	Other	5935525
Amy Joan Saar Owens	Chief operating officer, finop	1 Aug 2011	Other	1223854
Lamar Stewart Jones	Director of operations	1 Oct 2011	Other	838681
Amy Joan Saar Owens	Chief operating officer, chief compliance officer	1 Sep 2012	Other	1223854
Thomas Ryan Oldham	Chief compliance officer	1 Nov 2012	Other	4469948
Adam D Proskovec	Director of supervision & operations	1 Dec 2014	Other	4957628
Richard William Healey	President	1 May 2016	Other	2000584
Adam D Proskovec	Vice president	1 Jan 2018	Other	4957628
Adam D Proskovec	Vice president and principal operations officer	1 Sep 2018	Other	4957628
Evan Richard Bees	Principal financial officer	1 Sep 2018	Other	4662845

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Mutual Of Omaha Insurance Co.	Owner	1 Sep 1993	75% - 100%	47-0246511

Based in Omaha

The principal office where Mutual Of Omaha Investor Services, Inc. performs its advisory services is located at 3300 Mutual Of Omaha Plaza, Omaha, NE 68175 1020, which is also the mailing address of the firm. An additional office of the firm is in Tampa, FL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 402-351-5770 or by fax 866-807-9215. The normal business hours are 8:00 - 4:30 cst/cdt on Monday - Friday. You can find more information about the New York firm at mutualofomaha.com/.