Luciano A. Bortoletto
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.
Luciano Andriano Bortoletto, who also goes by Lou Bortoletto, was a registered financial professional .
Luciano is a previously registered financial professional and started their career in finance in 1989. Luciano had worked at 14 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2010 - October 3, 2013
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
February 11, 2002 - November 12, 2002
AMERITAS INVESTMENT COMPANY, LLC
May 8, 2000 - December 10, 2001
SUNSET FINANCIAL SERVICES, INC.
September 1, 1999 - May 2, 2000
INVESTORS CAPITAL CORP.
July 15, 1999 - July 23, 1999
FIRST ALLIED SECURITIES, INC.
December 24, 1998 - April 5, 1999
FORESTERS EQUITY SERVICES, INC.
April 13, 1998 - December 11, 1998
INVESTORS CAPITAL CORP.
April 8, 1996 - April 2, 1998
VOYA FINANCIAL ADVISORS, INC.
March 1, 1996 - April 1, 1996
SECURIAN FINANCIAL SERVICES, INC.
April 24, 1995 - August 23, 1995
WOODBURY FINANCIAL SERVICES, INC.
March 11, 1993 - August 3, 1994
AMERICAN FIDELITY SECURITIES, INC.
May 7, 1992 - September 22, 1992
LONDON PACIFIC SECURITIES, INC.
April 9, 1990 - October 22, 1991
TRANSAMERICA SECURITIES SALES CORPORATION
March 10, 1990 - October 22, 1991
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 13, 1989 - May 30, 1990
HIMCO DISTRIBUTION SERVICES COMPANY
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.
