John Bramham
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.
John Bramham, who also goes by John Nmn Bramham, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1990. John had worked at 11 firms and has passed the Series 63, Series 66, 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
October 27, 2014 - December 31, 2014
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
August 7, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
August 7, 2006 - December 20, 2007
MSI FINANCIAL SERVICES, INC.
September 7, 2004 - March 30, 2006
FARMERS FINANCIAL SOLUTIONS, LLC
May 15, 2000 - September 12, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
April 28, 2000 - September 12, 2002
IDS LIFE INSURANCE COMPANY
April 28, 2000 - September 12, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
September 10, 1998 - December 3, 1998
WOODBURY FINANCIAL SERVICES, INC.
May 31, 1996 - October 15, 1997
WORLD INVESTMENTS, LLC
February 16, 1995 - May 31, 1996
NEW ENGLAND SECURITIES
January 27, 1995 - February 21, 1995
WORLD INVESTMENTS, LLC
May 24, 1993 - January 30, 1995
IDS LIFE INSURANCE COMPANY
May 24, 1993 - January 30, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
July 16, 1990 - May 7, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 16, 1990 - May 7, 1993
PRUCO SECURITIES, 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.
