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Current Employers
Mutual Advisors, Llc

9140 W Dodge Road Suite 230, Omaha, NE 68114 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-01-30
  • CA RA
    APPROVED
    Since 2017-01-30

Branch Locations

967 Reserve Drive, Roseville, CA 95678 • United States

9140 W Dodge Road Suite 230, Omaha, NE 68114 • 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
Ameriprise Financial Services, Inc. Granite Bay CA 12/2012 01/2017
Mutual Advisors, Llc. Omaha NE 01/2017 Present
Mutual Securities, Inc. Camarillo CA 01/2017 Present
  • 12/2012 → 01/2017
    Ameriprise Financial Services, Inc.
    Granite Bay, CA
  • 01/2017 → Present
    Omaha, NE
  • 01/2017 → Present
    Mutual Securities, Inc.
    Camarillo, CA
Previous Registrations
Other Businesses

1. Poshmark, Start Date: 08/01/2022, 338 Rivergate Way, Sacramento, CA 95831, Sole Proprietor, Selling Fashion Products, Owner, Re-sell my personal fashionable goods on Poshmark website, Not Investment Related, 5 Hours per month, 0 Hours per day during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-10-18
S66 Uniform Combined State Law Examination 2006-02-14
  • S65 Uniform Investment Adviser Law Examination
    2010-10-18
  • S66 Uniform Combined State Law Examination
    2006-02-14

View on SEC IAPD

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