Derek Jerome Peterson

Current Employers

Mutual Of Omaha Investor Services, Inc.

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

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2015-01-06

MN RA
APPROVED

Since 2015-01-06

Branch Locations

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

10417 Excelsior Blvd. Suite 1, Hopkins, MN 55343 • United States

Farmington, MN • 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

Organization	City	State	From	To
Mutual Of Omaha Insurance	Bloomington	MN	11/2013	Present
Mutual Of Omaha Investor Services	Bloomington	MN	01/2014	Present
Mutual Of Omaha Insurance	Bloomington	MN	03/2017	05/2019

11/2013 → Present

Mutual Of Omaha Insurance

Bloomington, MN
01/2014 → Present

Mutual Of Omaha Investor Services

Bloomington, MN
03/2017 → 05/2019

Mutual Of Omaha Insurance

Bloomington, MN

Other Businesses

Insurance Agent; Start Date: 07/2013; Non-Investment Related; Insurance Lines: Health, Life, and Annuity; Approximately 40 hours per week during trading hours. Owner: Health and Wealth Financial Services, LLC. Start Date: 09/2021; Investment Related; 1700 West 82nd Street (Suite 160), Bloomington, MN 55431; Approximately 40 hours per week during trading hours. Incorporated my financial advising business. This is my personal DBA used for tax purposes. Financial Advisor: Clarity Financial, LLC. Start Date: 08/2022; Investment Related; 10417 Excelsior Blvd., Suite 1, Hopkins, MN 55343. I'm a financial advisor on the Clarity Financial team and will be using the Clarity Financial DBA for marketing purposes. Basketball Instructor; Non-Investment Related; Basketball instructor; Minnesota School of Basketball; Approximately 1 hour per month during non-trading hours. Sole Proprieter; Non-Investment Related; selling and trading sports trading cards and collector shoes online and at trading shows; Start date: 2022; Approximately 2-4 hours per week during non-trading hours. Volunteer: American Cancer Society North Region Community Fundraising Leadership Team Minnesota Co-Lead; Non-Investment Related. Approximately 4 hours per month during non-trading hours. Volunteer: Bethany Lutheran College Alumni Board Member; Non-Investment Related. Approximately 1 hour per month during non-trading hours. Volunteer: Bryce Borca Foundation Board Member; Non-Investment Related. Approximately 2 hours per month during non-trading hours. 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 services.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2015-01-03
S63	Uniform Securities Agent State Law Examination	2014-04-29

S65 Uniform Investment Adviser Law Examination

2015-01-03
S63 Uniform Securities Agent State Law Examination

2014-04-29