William J. Dervin
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.
William James Dervin, who also goes by Jim Dervin, W. James Dervin, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2006. William had worked at 8 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2019 - March 31, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 22, 2019 - March 31, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
August 25, 2016 - July 1, 2019
ALLSTATE FINANCIAL ADVISORS, LLC
August 25, 2016 - July 1, 2019
ALLSTATE FINANCIAL SERVICES, LLC
May 19, 2015 - August 25, 2016
NATIONWIDE SECURITIES, LLC
October 17, 2014 - August 25, 2016
NATIONWIDE SECURITIES, LLC
June 10, 2013 - June 26, 2014
LPL FINANCIAL LLC
June 10, 2013 - June 26, 2014
LPL FINANCIAL LLC
May 20, 2010 - June 17, 2013
OSAIC FS, INC.
April 20, 2010 - June 17, 2013
OSAIC FS, INC.
April 25, 2007 - April 26, 2010
EQUITABLE ADVISORS, LLC
March 31, 2006 - February 1, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 2006 - February 1, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
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.
