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Brian T. Aschoff

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CRD#: 4771804
BA

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Brian Thomas Aschoff, who also goes by Brian T Aschoff, was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2004. Brian had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brian T Aschoff

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 9, 2014 - December 22, 2014

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA
CRD#: 611
NORFOLK, NE
Past

July 9, 2012 - December 22, 2014

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
NORFOLK, NE
Past

September 8, 2009 - June 7, 2011

FBL MARKETING SERVICES, LLC

BD
CRD#: 5309
NORFOLK, NE
Past

June 24, 2008 - August 17, 2009

FBL MARKETING SERVICES, LLC

BD
CRD#: 5309
NORFOLK, NE
Past

April 30, 2004 - August 2, 2004

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/3/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/2/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/22/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/23/2008
Investment Company Products/Variable Contracts Representative Examination

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#: 611

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