Curtis Homann

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CRD#: 2206238

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.

Curtis Homann, who also goes by Curtis R Homann, Curtis Roy Homann, was a registered financial professional .

Curtis is a previously registered financial professional and started their career in finance in 1992. Curtis had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Curtis R Homann | Curtis Roy Homann

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.

Co-member/co-owner; Midwest Event Promotions LLC, not investment related, PO Box 73 Altamont, IL 62411, business promotes significant events primarily racing events, co-owner; Start Date: 06/2021 business start date, Approximately 5 hours/month, 0 hours during securities trading hours. My duties is a voice talent and marketing talent--I record the voice and write script for audio promotion and help with marketing as needed. Insurance Agent - Start Date: 07/2021 - Non-investment Related - Insurance lines of business: life, health, annuities - Hours/per week during trading hours: 19 Board Member; Farmer City Chamber of Commerce; Non-Investment Related; Start Date: 3/1/2022; Volunteer board duties and chamber events volunteer; No Check Writing ability; Approximately 1 hour per week. President/Board Member - Farmer City DeWitt County Fair Association; Start Date: 1/1/2018; Volunteer board duties and fair week volunteer; No Check Writing ability; Approximately 1 hour per week. Director, DeWitt County Development Council, Start Date: 06/1/2013; Assist and develop business planning and business development for DeWitt County, NO check writing ability, Approximately 10 hrs/week. Director; Warner Hospital & Health Services Foundation. Start Date: 12/4/2021, Assist and plan Foundation charity events, NO check writing ability; Approximately 10 hrs/week.

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

July 27, 2022 - October 20, 2022

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

Bloomington, IL

Past

September 2, 2014 - July 6, 2018

NYLIFE SECURITIES LLC

CRD#: 5167

FARMER CITY, IL

Past

October 1, 2002 - August 23, 2004

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

May 20, 2002 - October 1, 2002

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

Past

June 14, 2000 - March 5, 2002

COUNTRY CAPITAL MANAGEMENT COMPANY

CRD#: 12060

BLOOMINGTON, IL

Past

January 17, 1992 - March 30, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

Past

January 17, 1992 - March 30, 1992

PRUCO SECURITIES, LLC.

CRD#: 5685

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

IAR

Series 65

Date: 7/27/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/13/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/6/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/2/2014

Investment Company Products/Variable Contracts Representative 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)

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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

Curtis Homann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NYLIFE SECURITIES LLC

AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL EQUITY SERVICES CORPORATION

COUNTRY CAPITAL MANAGEMENT COMPANY

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/27/2022

Series 63

Date: 6/13/2000

SIE

Date: 7/6/2018

Series 6

Date: 9/2/2014

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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