Thomas W. Huddleston

MUTUAL OF OMAHA INVESTOR SERVICES

Midlothian, VA

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CRD#: 4042080

Professional summary

Thomas W Huddleston Jr, who also goes by Thomas Wesley Huddleston Jr., Thomas Wesley Huddleston Jr, Thomas Wesley Huddleston, Tj Huddleston, Thomas W Huddleston, is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Midlothian, Virginia.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Wesley Huddleston Jr. | Thomas Wesley Huddleston Jr | Thomas Wesley Huddleston | Tj Huddleston | Thomas W Huddleston

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.

Insurance Agent - Start Date: 03/2019 - Non-investment Related - Insurance lines of business: Life, Health, and Annuity - Hours/per week during trading hours: 10 Mutual of Omaha Mortgage Lead Incentive Program; not investment related. Less than 1/hr per week. Fresnel Financial Services, LLC. located in Glen Allen VA - Start Date Jan. 1, 2025. Investment and Insurance related for marketing purposes.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas W Huddleston Jr's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Thomas W Huddleston Jr'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

March 12, 2019 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Office #2: 4870 Sadler Road Ste 105, Glen Allen, VA 23060

RIA

CRD#: 611

Midlothian, VA

Current

March 12, 2019 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Office #1: 4870 Sadler Road Ste 105, Glen Allen, VA 23060

RIA

CRD#: 611

Glen Allen, VA

Past

September 30, 2016 - March 8, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

RICHMOND, VA

Past

September 30, 2016 - March 8, 2019

LPL FINANCIAL LLC

CRD#: 6413

RICHMOND, VA

Past

January 11, 2016 - September 14, 2016

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

Richmond, VA

Past

January 11, 2016 - September 14, 2016

OSAIC INSTITUTIONS, INC.

CRD#: 35371

Richmond, VA

Past

October 16, 2014 - December 1, 2015

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

ORLANDO, FL

Past

October 15, 2014 - December 1, 2015

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

ORLANDO, FL

Past

August 4, 2009 - October 1, 2014

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

STAUNTON, VA

Past

June 1, 2008 - October 1, 2014

OSAIC INSTITUTIONS, INC.

CRD#: 35371

STAUNTON, VA

Past

August 28, 2006 - June 1, 2008

BI INVESTMENTS, LLC

CRD#: 125437

GLEN ALLEN, VA

Past

October 1, 2000 - August 15, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

COLONIAL HEIGHTS, VA

Past

November 16, 1999 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

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.

CRD#: 611 / SEC#: 801-61332, 8-47290

RIA

Registered Investment Advisory firm - SEC (7/30/2002 Approved)

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.

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

California
(2/26/2025)

Florida
(1/19/2024)

Montana
(2/26/2025)

North Carolina
(7/1/2024)

South Carolina
(2/26/2025)

Tennessee
(1/18/2024)

Virginia
(3/12/2019)

IAR

Virginia
(3/12/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/23/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/12/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/30/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/15/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/6/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611 / SEC#: 801-61332, 8-47290

RIA

Registered Investment Advisory firm - SEC (7/30/2002 Approved)

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)

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

Name	Position	CRD#
MUTUAL OF OMAHA HOLDINGS INC.	OWNER
BEES, EVAN RICHARD	PRINCIPAL FINANCIAL OFFICER	4662845
HUGHES, BRIANA DAWN	CHIEF COMPLIANCE OFFICER	4268240
PROSKOVEC, ADAM D	PRESIDENT AND PRINCIPAL OPERATIONS OFFICER	4957628

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.

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Advisor Monitoring

Firm Stability Insights

Thomas W. Huddleston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas W Huddleston Jr's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Thomas W Huddleston Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

BI INVESTMENTS, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/23/2009

Series 63

Date: 11/12/1999

SIE

Date: 10/1/2018

Series 7

Date: 4/30/2008

Series 6

Date: 11/15/1999

Series 24

Date: 11/6/2008

FINRA

Current Firm

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

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