Paula B. Brown
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paula Bernice Brown, who also goes by Paula Bernice Abbott, Paula Bernice Brown, was a registered financial professional .
Paula is a previously registered financial professional and started their career in finance in 1998. Paula had worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2020 - March 29, 2022
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
April 29, 2019 - June 2, 2020
HORNOR, TOWNSEND & KENT, LLC
February 7, 2017 - October 30, 2017
W&S BROKERAGE SERVICES, INC.
May 10, 2016 - December 20, 2016
CETERA WEALTH SERVICES, LLC
February 25, 2016 - December 20, 2016
CETERA WEALTH SERVICES, LLC
December 7, 2010 - May 22, 2014
PRUCO SECURITIES, LLC.
June 15, 2010 - May 22, 2014
PRUCO SECURITIES, LLC.
December 12, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
December 12, 2005 - May 25, 2010
MSI FINANCIAL SERVICES, INC.
February 25, 2004 - October 18, 2005
NYLIFE SECURITIES LLC
May 15, 2002 - January 2, 2004
1717 CAPITAL MANAGEMENT COMPANY
December 7, 1998 - March 15, 2002
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
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.
