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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
MO RA APPROVED 2010-04-27
  • MO RA
    APPROVED
    Since 2010-04-27

Branch Locations

4700 S. Lindbergh Blvd, St. Louis, MO 63126 • United States

3555 S Culpepper Cir Ste 100, Springfield, MO 65804 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Mutual Of Omaha Investor Services, Inc. St Louis MO 03/1992 Present
Mutual/United Of Omaha Insurance Company St. Louis MO 07/1992 Present
Other Businesses

Insurance Agent; Start Date: 09/1976; Non-Investment Related; Insurance Lines: Life, Health, and Annuity; Approximately 40 hours per week during trading hours. Insurance Agent: Start Date: 01/1978; Non-Investment Related; Insurance Lines: Property and Casualty; Approximately 1 hour per month. DBA Name: Tague Financial Services, LLC; Start Date: 11/21/2011; Non-Investment Related; DBA used as a business entity for hiring, payroll, and staff; Approximately 4 hours per month. DBA Name: S&S Financial Service, LLC; Start Date: 11/2016; Non-Investment Related; DBA used for insurance sales. Property Purchases, Sales, Rental, both Residential and Commercial. Properties under different LLC's, as Managing Member and also Member. Non Investment Related. January 2007. Approximately 4 hours weekly. Manage, purchase, sell, lease, along with construction and repair of properties. 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
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-04-22
S63 Uniform Securities Agent State Law Examination 1979-10-27
  • S65 Uniform Investment Adviser Law Examination
    2010-04-22
  • S63 Uniform Securities Agent State Law Examination
    1979-10-27

View on SEC IAPD

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