TK
Timothy A. Knowles
MUTUAL OF OMAHA INVESTOR SERVICES
OMAHA, NE 68175
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CRD#: 5250809
TK
Professional summary
Timothy Andrew Knowles, who also goes by Tim Knowles, Timothy Knowles, is a registered financial professional currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Omaha, Nebraska.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 2008. Timothy has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tim Knowles | Timothy Knowles
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.
CRS (Client Relationship Summary) - BD
Click below to view Timothy Andrew Knowles'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
February 1, 2022 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: Mutual Of Omaha Plaza, Omaha, NE 68175RIA
BD
CRD#: 611
OMAHA, NE
Past
March 12, 2020 - January 7, 2022
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
OMAHA, NE
Past
October 12, 2018 - February 26, 2020
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
September 20, 2016 - February 26, 2020
TD AMERITRADE CLEARING, INC.
BD
CRD#: 5633
OMAHA, NE
Past
September 18, 2015 - August 19, 2016
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
OMAHA, NE
Past
May 19, 2015 - August 19, 2016
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
OMAHA, NE
Past
January 9, 2012 - June 4, 2015
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
October 6, 2008 - June 4, 2015
TD AMERITRADE CLEARING, INC.
BD
CRD#: 5633
OMAHA, 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.
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
Alabama(2/16/2022)
RR
Alaska(2/16/2022)
RR
Arizona(2/16/2022)
RR
Arkansas(2/16/2022)
RR
California(2/16/2022)
RR
Colorado(2/16/2022)
RR
Connecticut(2/16/2022)
RR
Delaware(2/16/2022)
RR
District of Columbia(2/16/2022)
RR
Florida(2/16/2022)
RR
Georgia(2/16/2022)
RR
Hawaii(2/16/2022)
RR
Idaho(2/16/2022)
RR
Illinois(2/16/2022)
RR
Indiana(2/16/2022)
RR
Iowa(2/16/2022)
RR
Kansas(2/16/2022)
RR
Kentucky(2/16/2022)
RR
Louisiana(2/16/2022)
RR
Maine(2/16/2022)
RR
Maryland(2/16/2022)
RR
Massachusetts(2/16/2022)
RR
Michigan(2/16/2022)
RR
Minnesota(2/16/2022)
RR
Mississippi(2/16/2022)
RR
Missouri(2/16/2022)
RR
Montana(2/16/2022)
RR
Nebraska(2/1/2022)
RR
Nevada(2/16/2022)
RR
New Hampshire(2/16/2022)
RR
New Jersey(2/16/2022)
RR
New Mexico(2/16/2022)
RR
New York(2/16/2022)
RR
North Carolina(2/16/2022)
RR
North Dakota(2/16/2022)
RR
Ohio(2/18/2022)
RR
Oklahoma(2/16/2022)
RR
Oregon(2/16/2022)
RR
Pennsylvania(2/16/2022)
RR
Puerto Rico(2/16/2022)
RR
Rhode Island(2/16/2022)
RR
South Carolina(2/16/2022)
RR
South Dakota(2/16/2022)
RR
Tennessee(2/16/2022)
RR
Texas(2/16/2022)
RR
Utah(2/16/2022)
RR
Vermont(2/16/2022)
RR
Virgin Islands(2/16/2022)
RR
Virginia(2/16/2022)
RR
Washington(2/16/2022)
RR
West Virginia(2/16/2022)
RR
Wisconsin(2/16/2022)
RR
Wyoming(2/16/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611Omaha, NE 68175TRUST BUT VERIFY
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