William J. Harrell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Jeffrey Harrell, who also goes by Bill Harrell, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 24 and Series 51 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2013 - April 8, 2014
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
May 25, 2011 - September 27, 2012
NATIONWIDE SECURITIES, LLC
February 17, 2004 - August 2, 2010
ALLSTATE FINANCIAL SERVICES, LLC
June 24, 2003 - January 8, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
March 24, 2003 - January 7, 2004
NEW ENGLAND SECURITIES
December 11, 1998 - January 7, 2004
NEW ENGLAND SECURITIES
January 24, 1997 - October 23, 1998
WALNUT STREET SECURITIES, INC.
November 2, 1994 - December 31, 1996
WALNUT STREET SECURITIES, INC.
April 15, 1991 - November 1, 1994
GUARDIAN INVESTOR SERVICES LLC
February 25, 1986 - January 10, 1991
MML INVESTORS SERVICES, 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
Exams
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
