Richard R. Lang
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.
Richard Robert Lang, who also goes by Richard Lang, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 13 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2014 - June 3, 2015
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
May 8, 2014 - July 10, 2014
NYLIFE SECURITIES LLC
February 13, 1997 - April 2, 1997
CONSECO SECURITIES, INC.
February 24, 1993 - March 10, 1995
DREYFUS INVESTMENT SERVICES COMPANY, LLC
July 23, 1991 - February 12, 1993
CAPITAL BROKERAGE CORPORATION
March 27, 1990 - February 25, 1991
METROPOLITAN LIFE INSURANCE COMPANY
March 27, 1990 - February 25, 1991
MSI FINANCIAL SERVICES, INC.
September 11, 1989 - March 14, 1990
MARKETING ONE SECURITIES, INC.
April 18, 1989 - September 19, 1989
A. F. INVESTMENTS, INC.
October 29, 1987 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
October 29, 1987 - March 20, 1989
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 29, 1987 - March 20, 1989
OSAIC FA, INC.
July 24, 1986 - March 12, 1987
AMERIPRISE FINANCIAL 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.
