Yulando F. Wallace

MUTUAL OF OMAHA INVESTOR SERVICES

Prince George, VA

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CRD#: 2306227

Professional summary

Yulando Fitzgerald Wallace is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Prince George, Virginia.

Yulando is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Yulando has worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Insurance Agent - Start Date: 11/2019 - Non-investment Related - Insurance lines of business: Life, Health and Annuities - Hours/per week during trading hours: 40 1) JFW CAPITAL, LLC. 4225 CEDAR CREEK LANE PRINCE GEORGE, VA 23875 CATEGORY: INSURANCE INVESTMENT RELATED: YES TITLE: AGENT DUTIES: OFFERS DISABILITY INSURANCE, INDEXED ANNUITIES, FIXED ANNUITIES, TRADITIONAL LIFE INSURANCE. Also, providing education workshops for federal employees. START DATE: 01/2018 HOURS PER MONTH: 80 HOURS PER MONTH DURING TRADING HOURS: 80

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yulando Fitzgerald Wallace's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Yulando Fitzgerald Wallace'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 2, 2019 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Office #2: 4870 Sadler Road Ste 105, Glen Allen, VA 23060

RIA

CRD#: 611

Prince George, VA

Current

December 2, 2019 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Office #1: 4870 Sadler Road Ste 105, Glen Allen, VA 23060

RIA

CRD#: 611

Glen Allen, VA

Past

September 10, 2018 - November 21, 2019

OSAIC FS, INC.

RIA

CRD#: 3870

PRINCE GEORGE, VA

Past

August 19, 2015 - November 21, 2019

OSAIC FS, INC.

CRD#: 3870

PRINCE GEORGE, VA

Past

June 22, 2010 - August 19, 2015

OSAIC INSTITUTIONS, INC.

CRD#: 35371

PETERSBURG, VA

Past

January 4, 2010 - June 23, 2010

ALLIED BEACON PARTNERS, INC.

CRD#: 46227

PETERSBURG, VA

Past

August 9, 2004 - December 23, 2009

COMMUNITY BANKERS SECURITIES, LLC

CRD#: 42794

PETERSBURG, VA

Past

April 16, 2002 - August 9, 2004

CENTAURUS FINANCIAL, INC.

CRD#: 30833

ANAHEIM, CA

Past

January 4, 2002 - April 8, 2002

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

December 21, 1999 - November 23, 2001

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

December 21, 1999 - November 23, 2001

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

March 31, 1999 - December 3, 1999

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

March 31, 1999 - December 3, 1999

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

April 18, 1996 - February 26, 1999

CRESTAR SECURITIES CORPORATION

CRD#: 17464

RICHMOND, VA

Past

May 25, 1993 - June 6, 1995

CRESTAR SECURITIES CORPORATION

CRD#: 17464

RICHMOND, VA

Past

March 18, 1993 - May 24, 1993

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 18, 1993 - May 24, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

North Carolina
(7/2/2024)

Virginia
(12/2/2019)

IAR

Virginia
(12/2/2019)

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 66

Date: 9/4/2018

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/9/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/6/1993

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: 3/15/1993

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

Yulando F. Wallace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yulando Fitzgerald Wallace's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Yulando Fitzgerald Wallace's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

OSAIC FS, INC.

OSAIC FS, INC.

OSAIC INSTITUTIONS, INC.

ALLIED BEACON PARTNERS, INC.

COMMUNITY BANKERS SECURITIES, LLC

CENTAURUS FINANCIAL, INC.

NEW ENGLAND SECURITIES

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

CRESTAR SECURITIES CORPORATION

CRESTAR SECURITIES CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/4/2018

Series 65

Date: 8/9/2000

Series 63

Date: 4/6/1993

SIE

Date: 10/1/2018

Series 7

Date: 3/15/1993

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.

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