DB
Daniel W. Bodmann
MUTUAL OF OMAHA INVESTOR SERVICES
OMAHA, NE 68175
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CRD#: 4588323
DB
Professional summary
Daniel William Bodmann Jr., who also goes by Dan Bodmann, Daniel William Bodmann, is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Omaha, Nebraska.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Daniel has worked at 3 firms and has passed the Series 66, Series 99TO, Series 52TO, SIE, Series 3, Series 7, Series 27, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Bodmann | Daniel William Bodmann
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.
LAND OF MILK AND HONEY HERBS, LLC POSITION: Co-owner and Herbalist NATURE: Personal health consultations and herbal supplements INVESTMENT RELATED: No NUMBER OF HOURS: 20/mo. SECURITIES TRADING HOURS: 4/mo. START DATE: 05/01/2015 ADDRESS: 521 N 33rd Street, Omaha NE 68131 DESCRIPTION: Will be involved in providing client consultations and custom-tailored herbal supplements to help foster the improved health and wellness of our clients. OMAHA WHOLE LIVING, LLC POSITION: Co-owner and Educator NATURE: Retail product sales and classes related to healthy and natural living. INVESTMENT RELATED: No NUMBER OF HOURS: 20/mo. SECURITIES TRADING HOURS: 4/mo. START DATE: 05/01/2015 ADDRESS: 521 N 33rd St, Omaha NE 68131 DESCRIPTION: Will be involved in delivering and facilitating classes for the local community on topics related to healthy and natural living. Retail product sales may include a diversity of products related to healthy and natural living. Business income will also include "shelf space" fees from product providers and overrides on sales of products from product providers. Similarly, local product providers may pay fees for the direct use of (or access to) our retail business space.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel William Bodmann Jr.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel William Bodmann Jr.'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
January 31, 2017 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: Mutual Of Omaha Plaza, Omaha, NE 68175RIA
BD
CRD#: 611
OMAHA, NE
Current
August 17, 2016 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: Mutual Of Omaha Plaza, Omaha, NE 68175RIA
BD
CRD#: 611
OMAHA, NE
Past
May 3, 2004 - March 15, 2011
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LA VISTA, NE
Past
February 21, 2003 - July 6, 2016
SECURITIES AMERICA, INC.
BD
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.
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
Nebraska(8/18/2016)
IAR
Nebraska(1/31/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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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 68175TRUST BUT VERIFY
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