Kirk J. Schroeder
Professional summary
Kirk Joseph Schroeder is a registered financial professional currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Denver, Colorado.
Kirk is registered as a RR (Registered Representative) and started their career in finance in 1993. Kirk has worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kirk Joseph Schroeder's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 7, 1994 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: 600 Grant Street Ste 304, Denver, CO 80203July 21, 1993 - January 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 12, 1993 - June 25, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 12, 1993 - June 25, 1993
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/8/1994)
(2/7/1994)
(2/10/1994)
Exams
FINRA
Current Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
Red Flags
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