MUTUAL OF OMAHA INVESTOR SERVICES, INC. of OMAHA, NE is an SEC-registered investment adviser (CRD 611). Regulatory assets under management: $32.0M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Charities.
Showing 25 of 29 people.
| Name | Role | Location |
|---|---|---|
| Martin Paul | DIRECTOR | Traverse City, MI |
| Martin G Paul | DIRECTOR | Traverse City, MI |
| Adam D Proskovec | PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | — |
| Evan Richard Bees | PRINCIPAL FINANCIAL OFFICER | — |
| Briana Dawn Hughes | CHIEF COMPLIANCE OFFICER | — |
| JONES LAMAR STEWART | DIRECTOR OF OPERATIONS | — |
| KELLY DANIEL JAMES | PRESIDENT | — |
| BLUVAS WILLIAM JOSEPH | PRESIDENT, TREASURER - FINOP-; PRESIDENT, TREASURER - FINOP- CHIEF COMPLIANCE OFFICER; VP FINANCE & TREASURER - FINOP- CHIEF COMPLIANCE OFFICER | — |
| AUGUSTYN LINDA KAY | VP SALES, MARKETING, & COMMUNICATION | — |
| WITT RICHARD ALLEN | DIRECTOR; PRESIDENT/DIRECTOR | — |
| HUSS MICHAEL EDWARD | VICE PRESIDENT; VICE PRESIDENT, SECRETARY | — |
| LARKIN MICHAEL ANTHONY | CHIEF COMPLIANCE OFFICER; VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| DEWALD TERRANCE SHAWN | VICE PRESIDENT/DIRECTOR | — |
| OWENS AMY JOAN SAAR | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER, FINOP (+4 more) | — |
| ANDERL RICHARD C | DIRECTOR | — |
| HAVER JOHN LEE | DIRECTOR | — |
| JARESKE MICHAEL JOSEPH | TREASURER | — |
| HEALEY RICHARD WILLIAM | PRESIDENT | — |
| STURGEON JOHN ASHLEY | DIRECTOR | — |
| WEEKLY JOHN WILLIAM | CHAIRMAN OF THE BOARD | — |
| HUERTER MARY JANE | DIRECTOR/SECRETARY | — |
| HORN RANDY CRAIG | DIRECTOR | — |
| MCCOY KEVIN P | TREASURER | — |
| NEARY DANIEL PAUL | DIRECTOR | — |
| DIAMOND DAVID ANDREW | DIRECTOR | — |
Showing 10 of 19 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-04-02 | regulatory | THE SOUTH CAROLINA INSURANCE DIRECTOR ALLEGED THAT MUTUAL OF OMAHA INSURANCE COMPANY VIOLATED S.C. CODE ANN. 38-61-20 AND S.C. CODE OF REGULATIONS 69-46-(11)(A) RELATED TO THE CHARGE OF THE TOBACCO RATING DURING MEDICARE SUPPLEMENT OPEN ENROLLMENT OR GUARANTEED ISSUE RIGHTS TIME PERIODS. | Final | $25K |
| 2024-09-26 | regulatory | IN CONNECTION WITH A MARKET CONDUCT EXAM, THE ILLINOIS INSURANCE DEPARTMENT ALLEGED MUTUAL OF OMAHA INSURANCE COMPANY AND UNITED OF OMAHA INSURANCE COMPANY WERE NOT IN COMPLIANCE WITH ILLINOIS INSURANCE CODE (215 ILCS 5/1 ET SEQ.) AND DEPARTMENT REGULATIONS (50 ILL. ADM. CODE 101 ET SEQ.) RELATED TO… | Final | $70K |
| 2024-05-20 | regulatory | IN CONNECTION WITH A MARKET CONDUCT EXAM, THE CONNECTICUT INSURANCE DEPARTMENT ALLEGED MUTUAL OF OMAHA INSURANCE COMPANY VIOLATED PROVISIONS 38A-702M OF THE CONNECTICUT GENERAL STATUTES. | Final | $2K |
| 2021-12-14 | regulatory | IN CONNECTION WITH A COMPLAINT FROM AN INDIVIDUAL COVERED UNDER A DISABILITY INCOME POLICY, THE MARYLAND INSURANCE COMMISSIONER ALLEGED THAT MUTUAL OF OMAHA INSURANCE COMPANY VIOLATED PROVISIONS OF MARYLAND REGULATIONS SECTION 31.10.30.04 AND 31.10.30.05 BY FAILING TO SEND TIMELY NOTICE OF AN ADVERS… | Final | $1K |
| 2020-03-02 | regulatory | THE WISCONSIN OFFICE OF THE COMMISSIONER OF INSURANCE ALLEGED MUTUAL OF OMAHA INSURANCE COMPANY DID NOT COMPLY WITH WIS. ADMIN CODE § 6.57(2)(B) IN RELATION TO AGENT TERMINATIONS. | Final | $1K |
| 2020-03-02 | regulatory | THE WISCONSIN OFFICE OF THE COMMISSIONER OF INSURANCE ALLEGED MUTUAL OF OMAHA INSURANCE COMPANY DID NOT COMPLY WITH WIS. ADMIN CODE ? 6.57(2)(B) IN RELATION TO AGENT TERMINATIONS. | Final | $1K |
| 2019-10-10 | regulatory | IN CONNECTION WITH A COMPLAINT FROM AN INDIVIDUAL COVERED UNDER A DISABILITY INCOME POLICY, THE MARYLAND INSURANCE COMMISSIONER ALLEGED THAT MUTUAL OF OMAHA INSURANCE COMPANY VIOLATED PROVISIONS OF MARYLAND REGULATIONS SECTION 31.10.30.04 BY FAILING TO INCLUDE REQUIRED INFORMATION IN ITS NOTICE OF A… | Final | $1K |
| 2019-08-14 | regulatory | IN CONNECTION WITH A MARKET CONDUCT EXAMINATION, THE CONNECTICUT INSURANCE DEPARTMENT ALLEGED MUTUAL OF OMAHA INSURANCE COMPANY DID NOT COMPLY WITH 38A-483 AND 38A-702M OF THE CONNECTICUT GENERAL STATUTES. | Final | $61K |
| 2019-04-16 | regulatory | IN CONNECTION WITH A MARKET CONDUCT EXAM, THE WASHINGTON INSURANCE COMMISSIONER ALLEGED THAT MUTUAL OF OMAHA INSURANCE COMPANY VIOLATED RCW 48.17.160(2), WAC 284-17-443, WAC-284-17-429(4) AND RCW48.17.490(1) RELATED TO PRODUCER APPOINTMENTS. | Final | $3K |
| 2019-04-05 | regulatory | IN CONNECTION WITH A COMPLAINT, THE WASHINGTON INSURANCE COMMISSIONER ALLEGED THAT MUTUAL OF OMAHA INSURANCE COMPANY VIOLATED WAC 284-66-350(1)(A) BY FAILING TO EXCLUDE MEDICARE SUPPLEMENT SALES FROM PRODUCER INCENTIVE PRIZES/TRIPS. | Final | $12K |