Briana D. Hughes

MUTUAL OF OMAHA INVESTOR SERVICES

Waterloo, NE

Some features on this profile are disabled

CRD#: 4268240

Professional summary

Briana Dawn Hughes, who also goes by Briana Dawn Thoreson, is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Waterloo, Nebraska.

Briana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Briana has worked at 3 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Briana Dawn Thoreson

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Briana Dawn Hughes's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Briana Dawn Hughes'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 21, 2014 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Office #2: Mutual Of Omaha Plaza, Omaha, NE 68175

RIA

CRD#: 611

Waterloo, NE

Current

March 6, 2014 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Office #1: Mutual Of Omaha Plaza, Omaha, NE 68175

RIA

CRD#: 611

OMAHA, NE

Past

November 9, 2004 - February 24, 2014

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

LA VISTA, NE

Past

June 5, 2001 - February 24, 2014

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, 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.

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

Nebraska
(3/6/2014)

IAR

Nebraska
(3/21/2014)

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 66

Date: 10/21/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/4/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/4/2005

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 6/16/2004

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/22/2002

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)

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)

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Briana D. Hughes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Briana Dawn Hughes's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Briana Dawn Hughes's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

Primary Firm SEC Registration

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/21/2004

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/4/2001

Series 53

Date: 3/4/2005

Series 4

Date: 6/16/2004

Series 24

Date: 3/22/2002

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.

TRUST BUT VERIFY

Similar Advisors