SB
Stephen C. Baker
MUTUAL OF OMAHA INVESTOR SERVICES
WINCHESTER, VA
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CRD#: 2817456
SB
Professional summary
Stephen Clarke Baker is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Winchester, Virginia.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Stephen has worked at 1 firm and has passed the 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.
MILLBROOK PIONEER ATHLETIC ASSOC., BOOSTER CLUB FOR HIGH SCHOOL ATHLETICS, APRIL 2003 TO CURRENT, HELP RAISE FUNDS THROUGH CONCESSION STANDS, T SHIRT SALES FOR SCHOOL DTEAMS; DBA STEPHEN C. BAKER INSURANCE AND FINANCIAL SERVICES, LLC. MILLBROOK HIGH FOR PA ANNOUNCING @GAMES; $35/ NIGHT; EFF 12/09. Stephen Baker, insurance agent; life, health, and annuities. August 1995 through present.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Clarke Baker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Clarke Baker'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
January 24, 2017 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
BD
CRD#: 611
WINCHESTER, VA
Current
January 6, 1997 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: 4870 Sadler Road Ste 105, Glen Allen, VA 23060RIA
BD
CRD#: 611
Glen Allen, VA
Past
August 22, 2016 - September 16, 2016
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
ROANOKE, VA
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
District of Columbia(1/11/2023)
RR
Maryland(6/18/1998)
RR
Ohio(1/11/2023)
RR
Pennsylvania(6/24/2015)
RR
Texas(2/2/2022)
RR
Virginia(1/6/1997)
IAR
Virginia(1/24/2017)
RR
West Virginia(1/6/1997)
Exams
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.
