Brian K. Bishop

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CRD#: 5097926

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.

Brian Keith Bishop, who also goes by Brian Bishop, was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2014. Brian had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brian Bishop

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

April 24, 2020 - November 4, 2020

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

NEW YORK, NY

Past

April 24, 2020 - March 31, 2022

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

NEW YORK, NY

Past

April 22, 2019 - April 22, 2020

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

COLORADO SPRINGS, CO

Past

September 2, 2014 - July 20, 2018

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

NEW YORK, NY

Past

January 1, 2014 - September 2, 2014

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

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 AMERICA LIFE INSURANCE COMPANY

CRD#: 15356 / SEC#: 801-21317, 8-32139

RIA

Registered Investment Advisory firm - SEC (6/1/1984 Approved)

Terminated by SEC on 11/30/2020

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

Series 63

Date: 1/23/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/20/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/30/2013

General Securities Representative Examination

Current Firm

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356 / SEC#: 801-21317, 8-32139

RIA

Registered Investment Advisory firm - SEC (6/1/1984 Approved)

Terminated by SEC on 11/30/2020

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Contact information

Main Address

320 Park Avenue, New York, NY 10022-6839

Mailing Address

Phone number

(212) 224-1600

Established

New York since 01/03/1945

Firm type

Corporation

Fiscal year end

December

# of Employees

753

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LU, KATHRYN ANNE	EXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	5605579

Regulatory assets under management

Total Number of Accounts	22
AUM (Assets Under Management)	$ 335,621,798

Disclosures

Regulatory Event

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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Firm Stability Insights

Brian K. Bishop

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MUTUAL OF AMERICA SECURITIES LLC

T. ROWE PRICE INVESTMENT SERVICES, INC.

EMPOWER FINANCIAL SERVICES, INC.

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

Primary Firm SEC Registration

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 1/23/2014

SIE

Date: 7/20/2018

Series 7

Date: 12/30/2013

Current Firm

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

Contact information

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

TRUST BUT VERIFY

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