WB
Warren H. Baba
MUTUAL OF OMAHA INVESTOR SERVICES
Honolulu, HI 96814-3805
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CRD#: 2831545
WB
Professional summary
Warren Haruo Baba, ChFC®, CLU® is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Honolulu, Hawaii.
Warren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Warren 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.
LIFE INSURANCE, HEALTH INSURANCE AND ANNUITIES
CRS (Client Relationship Summary) - RIA
Click below to view Warren Haruo Baba's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Warren Haruo Baba'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®
Experience
Current
January 4, 2007 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: 1600 Kapiolani Blvd Ste 1312, Honolulu, HI 96814-3805RIA
BD
CRD#: 611
Honolulu, HI
Current
January 31, 1997 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: 1600 Kapiolani Blvd Ste 1312, Honolulu, HI 96814-3805RIA
BD
CRD#: 611
Honolulu, HI
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
Arizona(10/5/2021)
RR
Arkansas(8/4/2021)
RR
California(9/1/2004)
RR
Colorado(1/7/2010)
RR
Hawaii(1/31/1997)
IAR
Hawaii(1/4/2007)
RR
Nevada(9/1/2004)
RR
Oregon(10/25/2017)
RR
Virginia(1/10/2011)
RR
Washington(2/15/2018)
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.
