JL
John F. Lanier
MUTUAL OF OMAHA INVESTOR SERVICES
Stanley, VA
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CRD#: 2467072
JL
Professional summary
John Franklin Lanier, who also goes by John Franklin Lanier III, is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Stanley, Virginia.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. John has worked at 3 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Franklin Lanier Iii
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: 07/2021 - Non-investment Related -670 Marksville Road, Stanley VA 22851- Insurance lines of business: Life/Health/Annuity - Hours/per week during trading hours: 30-Life, Health, and annuity product sales and service
Vestry Member - Start date 01/26/2025 - Christ Episcopal Church, Luray VA. Three-year term. Voting member of the Church leadership on general operational issues and ministry. Approximate time commitment is 8 hours per month including one vestry meeting during non-business hours.
CRS (Client Relationship Summary) - RIA
Click below to view John Franklin Lanier's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Franklin Lanier's 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®
NoneExperience
Current
June 8, 2023 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #2: 650 Peter Jefferson Parkway Suite 160, Charlottesville, VA 22911RIA
BD
CRD#: 611
Stanley, VA
Current
May 15, 2023 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: 650 Peter Jefferson Parkway Suite 160, Charlottesville, VA 22911RIA
BD
CRD#: 611
Charlottesville, VA
Past
February 5, 2004 - January 13, 2010
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
HARRISONBURG, VA
Past
July 24, 2001 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
HARRISONBURG, VA
Past
July 24, 2001 - January 13, 2010
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
HARRISONBURG, VA
Past
April 20, 1994 - February 27, 2001
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
April 20, 1994 - February 27, 2001
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, 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.
MOFA | MUTUAL OF OMAHA INVESTOR SERVICES, INC. | MUTUAL OF OMAHA FUND MANAGEMENT COMPANY | MUTUAL OF OMAHA FINANCIAL ADVISORS | MUTUAL OF OMAHA ADVISORS | MOIS
CRD#: 611 / SEC#: 801-61332, 8-47290
RIA
Registered Investment Advisory firm - SEC (7/30/2002 Approved)BD
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.RR
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
RR
Florida(10/25/2024)
RR
New York(9/24/2024)
IAR
Virginia(6/8/2023)
RR
Virginia(7/19/2023)
RR
West Virginia(10/31/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 5/15/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
MOFA | MUTUAL OF OMAHA INVESTOR SERVICES, INC. | MUTUAL OF OMAHA FUND MANAGEMENT COMPANY | MUTUAL OF OMAHA FINANCIAL ADVISORS | MUTUAL OF OMAHA ADVISORS | MOIS
CRD#: 611 / SEC#: 801-61332, 8-47290
RIA
Registered Investment Advisory firm - SEC (7/30/2002 Approved)BD
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)
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.
