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Current Employers
Mutual Of Omaha Investor Services, Inc.

3300 Mutual Of Omaha Plaza, Omaha, NE 68175-1020 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2014-02-21
MN RA APPROVED 2014-01-21
  • WI RA
    APPROVED
    Since 2014-02-21
  • MN RA
    APPROVED
    Since 2014-01-21

Branch Locations

N16W23217 Stone Ridge Drive Ste 120, Waukesha, WI 53188 • United States

10417 Excelsior Blvd. Suite 1, Hopkins, MN 55343 • 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
OrganizationCityStateFromTo
United/Mutual Of Omaha La Crosse WI 10/2002 Present
  • 10/2002 → Present
    United/Mutual Of Omaha
    La Crosse, WI
Other Businesses

INSURANCE AGENT SINCE OCTOBER 2002, NON-INVESTMENT RELATED, LIFE, FIXED ANNUITIES, CRITICAL ILLNESS, DISABILITY, LTC, HEALTH AND MEDICARE SUPPLEMENTS, 5 HOURS PER WEEK. PROPERTY RENTAL INVESTMENT INCOME SINCE OCTOBER 2014. 2 HRS PER MONTH, NO NET MONTHLY INCOME. Co-owner of Clarity Real Estate LLC. Periodic incidental income from property maintenance. 60% co-owner of Clarity Financial LLC; DBA FOR TAX PURPOSES ONLY; START DATE: 1/1/2019 Supervisory Board Member; Diamond Way Buddhism Foundation; Start Date: 08:2015; Non-Investment Related; No Compensation; Supervise Board of Directors; No Check Writing Ability; Approximately 1 week per year. Co-Chairman; Diamond Way Buddhism Foundation; Start Date: 11/2015; Non-Investment Related; No Compensation; Supervise Executive Officers, Board of Directors, and Strategic Planning; No Check Writing Ability; Approximately 3 hours per week during non-trading hours. Travelling Teacher; Diamond Way Buddhism Foundation; Start Date: 05/2004; Non-Investment Related; No Compensation; Teaching Buddhism and Meditation; Approximately a few weekends per quarter and a few weeks per year. Mutual of Omaha Mortgage Lead Incentive Program; not investment related. Less than 1/hr per week. Submit qualified forward/reverse mortgage leads to Mutual of Omaha Mortgage when a customer indicates a potential need for these activities.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-09-07
S63 Uniform Securities Agent State Law Examination 2003-05-09
  • S65 Uniform Investment Adviser Law Examination
    2005-09-07
  • S63 Uniform Securities Agent State Law Examination
    2003-05-09
Designations

View on SEC IAPD

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