Douglas E. Watts

MUTUAL OF OMAHA INVESTOR SERVICES

Ellicott City, MD

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CRD#: 2056370

Professional summary

Douglas Edward Watts, who also goes by Doug Watts, is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Ellicott City, Maryland.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Douglas has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Doug Watts

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.

Insurance Agent- Start date: 10/2018 - Non-investment Related - Insurance lines of business: Life, Health, and Annuities -Hours/week during trading hours: 40

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Edward Watts's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Douglas Edward Watts's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 11, 2018 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Office #2: 10432 Balls Ford Rd Suite 300, Manassas, VA 20109

RIA

CRD#: 611

Ellicott City, MD

Current

December 6, 2018 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Office #1: 10432 Balls Ford Rd Suite 300, Manassas, VA 20109

RIA

CRD#: 611

Manassas, VA

Past

June 1, 2009 - April 7, 2017

MORGAN STANLEY

RIA

CRD#: 149777

BALTIMORE, MD

Past

June 1, 2009 - April 7, 2017

MORGAN STANLEY

CRD#: 149777

BALTIMORE, MD

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BALTIMORE, MD

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

BALTIMORE, MD

Past

June 30, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

BALTIMORE, MD

Past

June 30, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

BALTIMORE, MD

Past

February 13, 1995 - July 24, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BALTIMORE, MD

Past

January 28, 1995 - July 24, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BALTIMORE, MD

Past

June 27, 1990 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

District of Columbia
(1/7/2019)

Maryland
(12/11/2018)

IAR

Maryland
(12/11/2018)

North Carolina
(2/5/2025)

Virginia
(1/4/2019)

IAR

Virginia
(2/13/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/31/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/20/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/7/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/25/1990

General Securities Representative Examination

SRO Registrations

FINRA

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)

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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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Firm Stability Insights

Douglas E. Watts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Edward Watts's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Douglas Edward Watts's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/31/1992

Series 63

Date: 7/20/1990

SIE

Date: 4/7/2017

Series 7

Date: 6/25/1990

FINRA

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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