Richard W. Healey

CRD#: 2000584

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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 William Healey was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1990. Richard had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 22, 2016 - December 31, 2022

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

Past

October 31, 2012 - November 14, 2014

ICON DISTRIBUTORS, INC.

CRD#: 28568

GREENWOOD VILLAGE, CO

Past

January 24, 2008 - December 3, 2010

ALLIANZ LIFE FINANCIAL SERVICES, LLC

CRD#: 612

MINNEAPOLIS, MN

Past

September 4, 2003 - December 31, 2003

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

August 25, 2003 - January 22, 2008

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

November 17, 1999 - September 3, 2003

INVESCO

RIA

CRD#: 106529

DENVER, CO

Past

August 11, 1998 - September 3, 2003

INVESCO DISTRIBUTORS, INC.

CRD#: 289

HOUSTON, TX

Past

November 19, 1996 - July 16, 1998

GT GLOBAL, INC.

CRD#: 19587

SAN FRANCISCO, CA

Past

July 25, 1995 - July 8, 1996

ASCENSUS BROKER DEALER SERVICES, LLC

CRD#: 36478

NEWTON, MA

Past

October 14, 1993 - June 14, 1996

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

PORTLAND, ME

Past

June 1, 1990 - March 25, 1993

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, 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.

CRD#: 611 / SEC#: 801-61332, 8-47290

RIA

Registered Investment Advisory firm - SEC (7/30/2002 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/27/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/30/1990

General Securities Principal Examination

Current Firm

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611 / SEC#: 801-61332, 8-47290

RIA

Registered Investment Advisory firm - SEC (7/30/2002 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

PREMIUM

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MUTUAL OF OMAHA INVESTOR SERVICES INC PART 2A BROCHURE 06-20-2025 (6/20/2025)

Direct owners and executive officers

Name	Position	CRD#
MUTUAL OF OMAHA HOLDINGS INC.	OWNER
BEES, EVAN RICHARD	PRINCIPAL FINANCIAL OFFICER	4662845
HUGHES, BRIANA DAWN	CHIEF COMPLIANCE OFFICER	4268240
PROSKOVEC, ADAM D	PRESIDENT AND PRINCIPAL OPERATIONS OFFICER	4957628

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.

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Advisor Monitoring

Firm Stability Insights

Richard W. Healey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ICON DISTRIBUTORS, INC.

ALLIANZ LIFE FINANCIAL SERVICES, LLC

NATIONAL PLANNING CORPORATION

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

INVESCO

INVESCO DISTRIBUTORS, INC.

GT GLOBAL, INC.

ASCENSUS BROKER DEALER SERVICES, LLC

FUNDS DISTRIBUTOR, LLC

THE ADVISORS GROUP, INC.

Primary Firm SEC Registration

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/27/1995

SIE

Date: 10/1/2018

Series 7

Date: 5/19/1990

Series 24

Date: 8/30/1990

Current Firm

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

TRUST BUT VERIFY

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