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Carole M. Perchal

MUTUAL OF OMAHA INVESTOR SERVICES
Lehigh Acres, FL
Some features on this profile are disabled
CRD#: 2943657
CP

Professional summary

Carole Marie Perchal, who also goes by Carole Marie Dethlefs, Carole Marie Flaxbeard, Carole Marie Nelsen, is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Lehigh Acres, Florida.

Carole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Carole has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Carole Marie Dethlefs | Carole Marie Flaxbeard | Carole Marie Nelsen

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.
January 2022 - I occasionally sell items on Poshmark - 2 hours per month. This is not investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carole Marie Perchal's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Carole Marie Perchal'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

June 20, 2016 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA
BD
CRD#: 611
Lehigh Acres, FL
Current

June 20, 2016 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Office #1: Mutual Of Omaha Plaza, Omaha, NE 68175
RIA
BD
CRD#: 611
OMAHA, NE
Past

October 22, 2015 - June 13, 2016

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
LA VISTA, NE
Past

October 21, 2015 - June 13, 2016

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

January 8, 2010 - October 20, 2015

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA
CRD#: 611
OMAHA, NE
Past

December 24, 1997 - October 20, 2015

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
OMAHA, NE

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.
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
(9/5/2024)
IAR
Florida
(9/6/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/4/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/1/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/9/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/23/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 6/28/2007
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 11/20/2001
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MUTUAL OF OMAHA INVESTOR SERVICES, INC.
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
MUTUAL OF OMAHA HOLDINGS INC.OWNER
BEES, EVAN RICHARDPRINCIPAL FINANCIAL OFFICER4662845
HUGHES, BRIANA DAWNCHIEF COMPLIANCE OFFICER4268240
PROSKOVEC, ADAM DPRESIDENT AND PRINCIPAL OPERATIONS OFFICER4957628

Regulatory assets under management

Total Number of Accounts116
AUM (Assets Under Management)$ 24,355,321

Disclosures

Regulatory Event4
Arbitration2
Bond8

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.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611Lehigh Acres, FL

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