Joel R. Perez

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CRD#: 5072889

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.

Joel R Perez, who also goes by Joel Perez, was a registered financial professional .

Joel is a previously registered financial professional and started their career in finance in 2006. Joel had worked at 12 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joel Perez

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 14, 2019 - February 25, 2020

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

LAKE MARY, FL

Past

November 19, 2018 - February 25, 2020

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

LAKE MARY, FL

Past

December 28, 2015 - December 7, 2016

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

BOCA RATON, FL

Past

December 11, 2015 - December 7, 2016

EQUITABLE ADVISORS, LLC

CRD#: 6627

BOCA RATON, FL

Past

September 17, 2014 - December 18, 2015

MML INVESTORS SERVICES, LLC

CRD#: 10409

FT LAUDERDALE, FL

Past

July 16, 2012 - May 14, 2014

PRINCIPAL SECURITIES, INC.

CRD#: 1137

MIRAMAR, FL

Past

August 15, 2011 - August 6, 2012

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

FORT LAUDERDALE, FL

Past

April 15, 2010 - July 21, 2011

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

COCONUT CREEK, FL

Past

May 13, 2009 - February 17, 2010

PARK AVENUE SECURITIES LLC

CRD#: 46173

BOCA RATON, FL

Past

July 25, 2008 - September 11, 2008

SWBC INVESTMENT COMPANY

RIA

CRD#: 140994

SAN ANTONIO, TX

Past

July 25, 2008 - September 11, 2008

SWBC INVESTMENT SERVICES, LLC

CRD#: 133715

SUNRISE, FL

Past

June 24, 2008 - July 29, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

PLANTATION, FL

Past

June 17, 2008 - July 29, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

PLANTATION, FL

Past

September 21, 2007 - June 9, 2008

NEW ENGLAND SECURITIES

RIA

CRD#: 615

CORAL GABLES, FL

Past

September 7, 2007 - June 9, 2008

NEW ENGLAND SECURITIES

CRD#: 615

CORAL GABLES, FL

Past

March 8, 2006 - January 8, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

FT. LAUDERDALE, FL

Past

February 20, 2006 - January 8, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

FT. LAUDERDALE, FL

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.

CRD#: 611 / SEC#: 801-61332, 8-47290

RIA

Registered Investment Advisory firm - SEC (7/30/2002 Approved)

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.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/1/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/7/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/17/2006

General Securities Representative Examination

Current Firm

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611 / SEC#: 801-61332, 8-47290

RIA

Registered Investment Advisory firm - SEC (7/30/2002 Approved)

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

Name	Position	CRD#
MUTUAL OF OMAHA HOLDINGS INC.	OWNER
BEES, EVAN RICHARD	PRINCIPAL FINANCIAL OFFICER	4662845
HUGHES, BRIANA DAWN	CHIEF COMPLIANCE OFFICER	4268240
PROSKOVEC, ADAM D	PRESIDENT AND PRINCIPAL OPERATIONS OFFICER	4957628

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.

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Advisor Monitoring

Firm Stability Insights

Joel R. Perez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

MML INVESTORS SERVICES, LLC

PRINCIPAL SECURITIES, INC.

MSI FINANCIAL SERVICES, INC.

ALLSTATE FINANCIAL SERVICES, LLC

PARK AVENUE SECURITIES LLC

SWBC INVESTMENT COMPANY

SWBC INVESTMENT SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/1/2015

SIE

Date: 12/7/2016

Series 7

Date: 2/17/2006

Current Firm

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

TRUST BUT VERIFY

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