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Vito G. Roberto

MUTUAL OF OMAHA INVESTOR SERVICES
Los Angeles, CA 90024
Some features on this profile are disabled
CRD#: 4297115
VR

Professional summary

Vito Giovanni Roberto, who also goes by VIto Giovanni Roberto, Vito Simplicio, is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Los Angeles, California.

Vito is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Vito has worked at 7 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 7, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Vito Giovanni Roberto | Vito Simplicio

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: 03/2024-Non-investment related- Insurance lines of business: Life, Health, Annuities; 20 hours per week during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vito Giovanni Roberto's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Vito Giovanni Roberto'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 26, 2024 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Office #1: 10880 Wilshire Boulevard Suite 2222, Los Angeles, CA 90024
RIA
BD
CRD#: 611
Los Angeles, CA
Current

March 26, 2024 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Office #1: 10880 Wilshire Boulevard Suite 2222, Los Angeles, CA 90024
RIA
BD
CRD#: 611
Los Angeles, CA
Past

July 28, 2022 - October 30, 2023

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
BEVERLY HILLS, CA
Past

July 6, 2022 - October 30, 2023

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
BEVERLY HILLS, CA
Past

March 16, 2021 - June 3, 2022

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
PORTER RANCH, CA
Past

March 16, 2021 - June 3, 2022

SECURITIES AMERICA, INC.

BD
CRD#: 10205
PORTER RANCH, CA
Past

April 3, 2019 - October 12, 2020

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
SHERMAN OAKS, CA
Past

February 19, 2019 - October 12, 2020

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
SHERMAN OAKS, CA
Past

August 27, 2009 - February 21, 2019

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA
CRD#: 611
LOS ANGELES, CA
Past

May 15, 2006 - February 21, 2019

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
LOS ANGELES, CA
Past

November 20, 2000 - August 5, 2002

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

November 20, 2000 - August 5, 2002

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

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.
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
California
(3/26/2024)
IAR
California
(3/26/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/24/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/14/2006
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/15/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/3/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/13/2006
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 11/5/2010
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MUTUAL OF OMAHA INVESTOR SERVICES, INC.
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
MUTUAL OF OMAHA HOLDINGS INC.OWNER
BEES, EVAN RICHARDPRINCIPAL FINANCIAL OFFICER4662845
HUGHES, BRIANA DAWNCHIEF COMPLIANCE OFFICER4268240
PROSKOVEC, ADAM DPRESIDENT AND PRINCIPAL OPERATIONS OFFICER4957628

Regulatory assets under management

Total Number of Accounts116
AUM (Assets Under Management)$ 24,355,321

Disclosures

Regulatory Event4
Arbitration2
Bond8

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.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611Los Angeles, CA 90024

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