Robert A. Joy
Professional summary
Robert Anthony Joy, who also goes by Tony Joy, is a registered financial professional currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Indianapolis, Indiana.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1986. Robert has worked at 5 firms and has passed the Series 63, SIE, Series 6, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Anthony Joy's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2015 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: 9000 Keystone Crossing Ste 425, Indianapolis, IN 46240April 20, 1995 - November 13, 1997
NATIONAL PLANNING CORPORATION
January 30, 1991 - November 16, 1994
NATCITY INSURANCE SERVICES, INC.
February 11, 1988 - February 14, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
April 25, 1986 - February 10, 1988
MARION BASS SECURITIES CORPORATION
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
(2/12/2015)
(2/25/2021)
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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