LP
Larry S. Phillips
MUTUAL OF OMAHA INVESTOR SERVICES
Glen Allen, VA 23060
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CRD#: 1852453
LP
Professional summary
Larry Scott Phillips, who also goes by L. Scott Phillips, Larry Scott Phillips, Scott Phillips, is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Glen Allen, Virginia.
Larry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Larry has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
L. Scott Phillips | Larry Scott Phillips | Scott Phillips
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) WVU Richmond Alumni Assoc Board Board Member of local Alumni Chapter since 05/2018. Not investment related. 2) Insurance Sales. Products, Life, Health, and Annuities. 312 Broadfield Ln Manakin Sabot VA 23103. 1 hrs/month during trading hrs. Not investment related. 3) Rental properties. Sole owner since 01/2000 312 Broadfield Ln Manakin Sabot VA 23103. 0 hrs/month devoted. Yes investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Larry Scott Phillips's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Larry Scott Phillips's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 7, 2017 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: 4870 Sadler Road Ste 105, Glen Allen, VA 23060RIA
BD
CRD#: 611
Glen Allen, VA
Current
July 7, 2017 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: 4870 Sadler Road Ste 105, Glen Allen, VA 23060RIA
BD
CRD#: 611
Glen Allen, VA
Past
March 11, 2016 - December 1, 2016
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
BETHESDA, MD
Past
March 11, 2016 - December 1, 2016
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
BETHESDA, MD
Past
May 29, 2013 - January 11, 2016
OSAIC SERVICES, INC.
RIA
CRD#: 133763
BALTIMORE, MD
Past
May 20, 2013 - January 11, 2016
OSAIC SERVICES, INC.
BD
CRD#: 133763
BALTIMORE, MD
Past
May 29, 2007 - February 13, 2013
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
BALTIMORE, MD
Past
July 21, 1988 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
BALTIMORE, MD
Past
July 21, 1988 - February 13, 2013
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
BALTIMORE, MD
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
MOFA | MUTUAL OF OMAHA INVESTOR SERVICES, INC. | MUTUAL OF OMAHA FUND MANAGEMENT COMPANY | MUTUAL OF OMAHA FINANCIAL ADVISORS | MUTUAL OF OMAHA ADVISORS | MOIS
CRD#: 611 / SEC#: 801-61332, 8-47290
RIA
Registered Investment Advisory firm - SEC (7/30/2002 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/5/2017)
RR
Alaska(1/26/2024)
RR
Arizona(6/24/2020)
RR
California(9/5/2017)
RR
Colorado(9/5/2017)
RR
Connecticut(5/10/2023)
RR
Delaware(3/6/2018)
RR
District of Columbia(9/5/2017)
RR
Florida(9/5/2017)
RR
Georgia(9/5/2017)
RR
Hawaii(9/5/2017)
RR
Idaho(9/5/2017)
RR
Illinois(9/5/2017)
RR
Indiana(9/5/2017)
RR
Iowa(10/23/2023)
RR
Kansas(9/8/2025)
RR
Kentucky(10/23/2023)
RR
Louisiana(2/25/2025)
RR
Maryland(7/21/2017)
RR
Michigan(2/5/2024)
RR
Mississippi(2/9/2023)
RR
Missouri(1/13/2020)
RR
Montana(3/28/2024)
RR
Nebraska(9/5/2017)
RR
Nevada(11/1/2019)
RR
New Jersey(3/6/2018)
RR
New York(9/5/2017)
RR
North Carolina(9/5/2017)
RR
North Dakota(10/3/2019)
RR
Ohio(6/11/2019)
RR
Oregon(5/7/2024)
RR
Pennsylvania(9/5/2017)
RR
South Carolina(9/5/2017)
RR
Tennessee(6/3/2019)
RR
Texas(9/5/2017)
RR
Vermont(10/23/2023)
RR
Virginia(7/7/2017)
IAR
Virginia(7/7/2017)
RR
Washington(7/19/2021)
RR
West Virginia(9/5/2017)
RR
Wisconsin(9/5/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/14/1998
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
MOFA | MUTUAL OF OMAHA INVESTOR SERVICES, INC. | MUTUAL OF OMAHA FUND MANAGEMENT COMPANY | MUTUAL OF OMAHA FINANCIAL ADVISORS | MUTUAL OF OMAHA ADVISORS | MOIS
CRD#: 611 / SEC#: 801-61332, 8-47290
RIA
Registered Investment Advisory firm - SEC (7/30/2002 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
3300 Mutual Of Omaha Plaza, Omaha, NE 68175-1020
Mailing Address
3300 Mutual Of Omaha Plaza, Omaha, NE 68175-1020
Phone number
(402) 351-3102
Established
Nebraska since 09/01/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
277
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.
Company Information
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611Glen Allen, VA 23060TRUST BUT VERIFY
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