AP
Adam D. Proskovec
MUTUAL OF OMAHA INVESTOR SERVICES
Omaha, NE
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CRD#: 4957628
AP
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 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Sports collectibles, not investment related, 10608 S 187th Circle Omaha NE 68136, buying and selling sports collectibles, owner, 7/8/2024, 10hrs a month, 0hrs during securities trading hours, overseeing the purchase and sales of sport collectibles
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).
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
December 9, 2013 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #2: Mutual Of Omaha Plaza, Omaha, NE 68175Office #3: 3300 Mutual Of Omaha Plaza, Omaha, NE 68175-1020RIA
BD
CRD#: 611
Omaha, NE
Current
December 9, 2013 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: Mutual Of Omaha Plaza, Omaha, NE 68175Office #2: 3300 Mutual Of Omaha Plaza, Omaha, NE 68175-1020RIA
BD
CRD#: 611
OMAHA, NE
Past
December 21, 2012 - November 13, 2013
ARBOR POINT ADVISORS
RIA
CRD#: 165127
LA VISTA, NE
Past
March 14, 2008 - November 13, 2013
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LA VISTA, NE
Past
November 23, 2005 - November 13, 2013
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
May 17, 2005 - June 21, 2005
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, 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
California(5/5/2022)
RR
Florida(5/15/2015)
RR
Georgia(6/13/2016)
RR
Hawaii(5/5/2022)
RR
Idaho(6/13/2016)
RR
Louisiana(6/13/2016)
RR
Michigan(6/13/2016)
RR
Montana(5/5/2022)
RR
Nebraska(12/9/2013)
IAR
Nebraska(12/9/2013)
RR
New Mexico(10/1/2024)
RR
New York(6/13/2016)
RR
North Carolina(5/5/2022)
RR
North Dakota(5/5/2022)
RR
Oklahoma(6/13/2016)
RR
Oregon(6/13/2016)
RR
Pennsylvania(6/13/2016)
RR
Texas(6/13/2016)
RR
Vermont(5/5/2022)
RR
Washington(5/10/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General 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
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.
