Franklin Mohri
MUTUAL OF OMAHA INVESTOR SERVICES
Irvine, CA 92614
Some features on this profile are disabled
CRD#: 4123494
Professional summary
Franklin Mohri, CFP®, who also goes by Afshin Mohri, is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Irvine, California.
Franklin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Franklin has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Afshin Mohri
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 Long Term Care Health Insurance Disability Critical Illness Fixed Annuities Medicare Supplements, Rental Income, Owner: Synergy Wealth Management Inc; DBA: The Mohri Group Wealth Strategies Rosengarden Florist -Owner of family floral business. Tarzana, CA, 91356 Not involved in the day to day activities. non-investment related 0 hours during trading hours- 7/19/20 Mutual of Omaha Mortgage Lead Incentive Program; not investment related. Less than 1/hr per week. Submit qualified forward/reverse mortgage leads to Mutual of Omaha Mortgage when a customer indicates a potential need for these services.
CRS (Client Relationship Summary) - RIA
Click below to view Franklin Mohri's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Franklin Mohri'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®
CFP®
Start date: 2006
Experience
Current
August 10, 2005 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: 1 Park Plaza Ste 720, Irvine, CA 92614Office #2: 10880 Wilshire Boulevard Suite 2222, Los Angeles, CA 90024RIA
BD
CRD#: 611
Irvine, CA
Current
November 5, 2002 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: 1 Park Plaza Ste 720, Irvine, CA 92614Office #2: 10880 Wilshire Boulevard Suite 2222, Los Angeles, CA 90024RIA
BD
CRD#: 611
Irvine, CA
Past
April 2, 2002 - October 22, 2002
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BEVERLY HILLS, CA
Past
March 18, 2002 - October 22, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 26, 2000 - February 20, 2002
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.
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(4/13/2018)
RR
California(11/5/2002)
IAR
California(8/10/2005)
RR
Florida(3/25/2020)
RR
Hawaii(8/31/2017)
RR
Kansas(11/6/2024)
RR
Maryland(4/13/2021)
RR
Nevada(6/13/2012)
RR
New York(1/3/2020)
RR
North Carolina(10/5/2021)
RR
North Dakota(1/14/2022)
RR
Oregon(4/17/2017)
RR
Texas(12/13/2013)
IAR
Texas(2/20/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
