SM
Shawn M. Mcgregor
MUTUAL OF OMAHA INVESTOR SERVICES
Omaha, NE 68104
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CRD#: 3132641
SM
Professional summary
Shawn Michael Mcgregor is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Omaha, Nebraska.
Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Shawn has worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 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.
Dendrite Dreams - Owner - start date 01/01/2018. Buy and sell agates, petrified wood, and other gemstones. 15 hours per week - non-trading hours.
Ride share driver - Uber - start date 05/15/2018. 15 hours per week - non-trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Michael Mcgregor's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shawn Michael Mcgregor'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
October 6, 2015 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: 4727 Grant St., Omaha, NE 68104Office #2: Mutual Of Omaha Plaza, Omaha, NE 68175RIA
BD
CRD#: 611
Omaha, NE
Current
October 6, 2015 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: Mutual Of Omaha Plaza, Omaha, NE 68175RIA
BD
CRD#: 611
OMAHA, NE
Past
September 12, 2014 - September 29, 2015
ARBOR POINT ADVISORS
RIA
CRD#: 165127
LA VISTA, NE
Past
September 19, 2011 - September 29, 2015
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LA VISTA, NE
Past
March 5, 2008 - September 29, 2015
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
September 13, 2001 - November 13, 2001
ACCUTRADE INC.
BD
CRD#: 13564
BELLEVUE, NE
Past
November 13, 2000 - July 15, 2002
TD AMERITRADE CLEARING, INC.
BD
CRD#: 5633
OMAHA, NE
Past
November 12, 1998 - December 31, 2001
J.P. SECURITIES, INC.
BD
CRD#: 36559
BELLEVUE, 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.
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(5/7/2024)
RR
Colorado(6/5/2024)
RR
Florida(5/7/2024)
RR
Idaho(6/18/2025)
RR
Illinois(5/7/2024)
RR
Kentucky(5/7/2024)
RR
Minnesota(11/8/2024)
RR
Nebraska(10/6/2015)
IAR
Nebraska(10/6/2015)
RR
Nevada(6/18/2025)
RR
North Dakota(5/7/2024)
RR
Oregon(6/5/2024)
RR
South Carolina(5/7/2024)
RR
Texas(5/7/2024)
RR
Virginia(6/18/2025)
RR
Washington(6/18/2025)
RR
Wisconsin(5/7/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 611Omaha, NE 68104TRUST BUT VERIFY
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