Adam D Proskovec
Professional Summary
Adam D Proskovec is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Omaha, Nebraska. Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Adam has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 3, Series 7, Series 6, Series 27, Series 53, Series 4 and Series 24...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
MOFA | MUTUAL OF OMAHA INVESTOR SERVICES, INC. | MUTUAL OF OMAHA FUND MANAGEMENT COMPANY | MUTUAL OF OMAHA FINANCIAL ADVISORS | MUTUAL OF OMAHA ADVISORS | MOIS
Contact Information
Main Address
3300 Mutual Of Omaha Plaza, Omaha, NE 68175-1020Mailing Address
3300 Mutual Of Omaha Plaza, Omaha, NE 68175-1020Phone Number
(402) 351-3102Established
Nebraska since 09/01/1993Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
285SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
144AUM (Assets Under Management)
$32,035,685Disclosures
Regulatory Event
4Arbitration
2Bond
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
MOFA | MUTUAL OF OMAHA INVESTOR SERVICES, INC. | MUTUAL OF OMAHA FUND MANAGEMENT COMPANY | MUTUAL OF OMAHA FINANCIAL ADVISORS | MUTUAL OF OMAHA ADVISORS | MOIS
State Registrations and Notice Filings
(5/5/2022)
(5/15/2015)
(6/13/2016)
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(12/9/2013)
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(10/1/2024)
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(5/10/2022)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 2005About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Adam D Proskovec's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Adam D Proskovec's CRS (Customer Relationship Summary).
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