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SR

Shawndra Rodriguez

MUTUAL OF OMAHA INVESTOR SERVICES
HOUSTON, TX 77042
CRD#: 4804961
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SR
Shawndra RodriguezMUTUAL OF OMAHA INVESTOR SERVICES

Professional summary

Shawndra Rodriguez, who also goes by Shawndra C Mccullum, Shawndra C Rodriguez, Shawndra Candice Smith, is a registered financial professional currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Houston, Texas.

Shawndra is registered as a RR (Registered Representative) and started their career in finance in 2004. Shawndra has worked at 6 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 6TO, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shawndra C Mccullum | Shawndra C Rodriguez | Shawndra Candice Smith

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) - BD

Click below to view Shawndra Rodriguez'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

April 20, 2026 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Office #1: 9800 Richmond Ave Ste 140, Houston, TX 77042
RIA
BD
CRD#: 611
HOUSTON, TX
Past

August 12, 2014 - May 15, 2018

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
Marrero, LA
Past

August 5, 2014 - May 15, 2018

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
Marrero, LA
Past

July 27, 2012 - August 1, 2014

EDWARD JONES

RIA
CRD#: 250
METAIRIE, LA
Past

July 23, 2012 - August 1, 2014

EDWARD JONES

BD
CRD#: 250
METAIRIE, LA
Past

October 7, 2010 - October 31, 2011

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
MARRERO, LA
Past

July 6, 2005 - October 31, 2011

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
MARRERO, LA
Past

June 8, 2004 - July 6, 2005

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL

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.

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
Texas
(5/18/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/4/2026
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/16/2026
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/2/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/18/2026
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6TO
Date: 4/4/2026
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/3/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/5/2004
Investment Company Products/Variable Contracts Representative 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)

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

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#: 611Houston, TX 77042

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