JM
Judy L. Maxwell
MUTUAL OF OMAHA INVESTOR SERVICES
Redding, CA 96003
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CRD#: 2652664
JM
Professional summary
Judy Lide Maxwell is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Redding, California.
Judy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Judy has worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 6 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.
BLUE CROSS, BLUE SHIELD OF CA, AGENT SELLING health INSURANCE PRODUCTS DURING NORMAL BUSINESS HOURS 8am-5pm JUDY MAXWELL INSURANCE SERVICES, 1378 HILLTOP DR., REDDING, CA 96002, INSURANCE, OWNER/SALES REP., 1993-PRES., 40+ HRS./MTH., SALES, ADMINISTRATION, MAXWELL INSURANCE & FINANCIAL Services INC DBA Maxwell Insurance and Financial, NORTHSTATE INVESTMENTS, INC., REAL ESTATE DEVELOPMENT AND MANAGEMENT, OWNER/OFFICER, NO EMPLOYEES AND NO OTHER OFFICERS. MEDICARE PART D AND MEDICARE SUPPLEMENT INSURANCE SOLD THROUGH VARIOUS CARRIERS, GROUP HEALTH AND ANCILLARY PRODUCTS WITH VARIOUS CARRIERS. INDIVIDUAL AND FAMILY HEALTH PLAN AND ANCILLARY PRODUCTS THROUGH VARIOUS CARRIERS. Altus Maxwell Insurance Associates, Inc., Property & Casualty Insurance sales and service, owner/officer, 1378 Hilltop Drive, Redding, CA, Date of corporation 10/13/18, non-investment related. Mutual of Omaha Mortgage Lead Incentive Program; not investment related. Less than 1/hr per week. Submit qualified forward/reverse mortgage leads to Mutual of Omaha Mortgage when a customer indicates a potential need for these services. Rental income from short-term rental property in Canton, Texas. Sept 19, 2023. 1327 Forrest Drive, Canton, Texas 75103. Not investment related. Redding Rotary Club, Board member. 1700 Pine Street Suite 210 2nd Floor Redding, CA 9600. July 10, 2025. 2 year term. 8-10 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view Judy Lide Maxwell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Judy Lide Maxwell'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
August 31, 2010 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: 1378 Hilltop Drive, Redding, CA 96003RIA
BD
CRD#: 611
Redding, CA
Current
November 7, 1995 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: 1378 Hilltop Drive, Redding, CA 96003RIA
BD
CRD#: 611
Redding, CA
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
California(11/7/1995)
IAR
California(8/31/2010)
RR
Colorado(2/1/2022)
RR
Idaho(2/1/2022)
RR
Montana(4/12/2000)
RR
Oregon(1/8/2020)
RR
Texas(3/18/2019)
RR
Washington(10/10/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611Redding, CA 96003TRUST BUT VERIFY
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