Ledawn Gries

MUTUAL OF OMAHA INVESTOR SERVICES

Henderson, NV

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CRD#: 2408755

Professional summary

Ledawn Gries, CIMA®, who also goes by Ledawn Gries, Ledawn Maloney, Ledawn Simms, is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Henderson, Nevada.

Ledawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Ledawn has worked at 18 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ledawn Gries | Ledawn Maloney | Ledawn Simms

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: 10/2023 - Non-investment Related - Insurance lines of business: VARIABLE AND FIXED ANNUITIES, LIFE, HEALTH, SR. HEALTH- NO DIRECT SELLING TO CONSUMERS. WHOLESALING ROLE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ledawn Gries's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Ledawn Gries'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

December 19, 2023 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

Henderson, NV

Current

December 18, 2023 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Office #1: Mutual Of Omaha Plaza, Omaha, NE 68175

RIA

CRD#: 611

OMAHA, NE

Past

March 23, 2023 - October 13, 2023

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Las Vegas, NV

Past

March 6, 2023 - October 17, 2023

WHALEN FINANCIAL

RIA

CRD#: 311869

LAS VEGAS, NV

Past

June 7, 2022 - November 15, 2022

FISHER INVESTMENTS

RIA

CRD#: 107342

Henderson, NV

Past

August 3, 2017 - June 1, 2022

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Past

March 21, 2016 - June 13, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

DENVER, CO

Past

December 21, 2015 - June 13, 2017

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

December 21, 2015 - June 13, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

DENVER, CO

Past

December 21, 2015 - June 13, 2017

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

APPLETON, WI

Past

December 21, 2015 - June 13, 2017

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

January 21, 2014 - December 8, 2015

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

DENVER, CO

Past

May 9, 2013 - December 26, 2013

OSAIC FS, INC.

CRD#: 3870

CORAL SPRINGS, FL

Past

July 19, 2004 - May 4, 2007

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

CHICAGO, IL

Past

May 30, 2003 - June 4, 2004

ADP BROKER-DEALER, INC.

CRD#: 37693

ROSELAND, NJ

Past

January 3, 2002 - May 30, 2003

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

December 8, 1999 - November 2, 2001

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

NEW YORK, NY

Past

November 28, 1997 - November 29, 1999

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

Past

August 8, 1996 - December 3, 1997

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

CHARLOTTE, NC

Past

July 18, 1994 - December 3, 1994

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

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

Nevada
(12/18/2023)

IAR

Nevada
(12/19/2023)

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: 6/2/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/11/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/8/2013

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: 5/8/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/15/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/10/2013

General Securities Principal 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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Advisor Monitoring

Firm Stability Insights

Ledawn Gries

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ledawn Gries's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Ledawn Gries's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

PURSHE KAPLAN STERLING INVESTMENTS

WHALEN FINANCIAL

FISHER INVESTMENTS

EQUITABLE DISTRIBUTORS, LLC

NATIONAL PLANNING CORPORATION

SII INVESTMENTS, INC.

NATIONAL PLANNING CORPORATION

INVESTMENT CENTERS OF AMERICA, INC.

INVEST FINANCIAL CORPORATION

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

OSAIC FS, INC.

TRANSAMERICA INVESTORS SECURITIES, LLC

ADP BROKER-DEALER, INC.

DWS DISTRIBUTORS, INC.

H.C.WAINWRIGHT & CO., LLC

BOFA DISTRIBUTORS, INC.

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

VERAVEST INVESTMENTS, INC.

Primary Firm SEC Registration

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/2/2022

Series 66

Date: 3/11/2016

Series 63

Date: 8/8/2013

SIE

Date: 10/1/2018

Series 7

Date: 5/8/2013

Series 6

Date: 7/15/1994

Series 24

Date: 10/10/2013

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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