Jemal D. Westbrook

MUTUAL OF OMAHA INVESTOR SERVICES

Omaha, NE

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CRD#: 2627846

Professional summary

Jemal David Westbrook is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Omaha, Nebraska.

Jemal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Jemal has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52, Series 4, Series 53 and Series 24 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.

Fan4Collecting - owner - Start Nov. 2022 - buy and sell comic books, sports cards and other collectibles - approx. 10 hours per week during non-trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jemal David Westbrook's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jemal David Westbrook'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 20, 2017 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Office #2: Mutual Of Omaha Plaza, Omaha, NE 68175

RIA

CRD#: 611

Omaha, NE

Current

December 20, 2017 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

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

RIA

CRD#: 611

OMAHA, NE

Past

January 27, 2015 - December 18, 2017

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

LA VISTA, NE

Past

January 22, 2015 - December 18, 2017

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

November 21, 2007 - January 20, 2015

TD AMERITRADE, INC.

RIA

CRD#: 7870

OMAHA, NE

Past

November 21, 2007 - January 20, 2015

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

OMAHA, NE

Past

October 15, 2007 - January 20, 2015

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

September 26, 1995 - August 1, 2007

ROOSEVELT & CROSS, INCORPORATED

CRD#: 6964

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

Massachusetts
(11/1/2022)

Nebraska
(12/20/2017)

IAR

Nebraska
(12/20/2017)

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: 11/14/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/11/1996

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: 6/21/2007

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 9/25/1995

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 5/30/2017

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 10/14/2015

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/27/2013

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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Firm Stability Insights

Jemal D. Westbrook

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jemal David Westbrook's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jemal David Westbrook's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

ROOSEVELT & CROSS, INCORPORATED

Primary Firm SEC Registration

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/14/2007

Series 63

Date: 3/11/1996

SIE

Date: 10/1/2018

Series 7

Date: 6/21/2007

Series 52

Date: 9/25/1995

Series 4

Date: 5/30/2017

Series 53

Date: 10/14/2015

Series 24

Date: 2/27/2013

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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