CH
Christopher L. Harsley
MUTUAL OF OMAHA INVESTOR SERVICES
St Louis, MO 63127
Some features on this profile are disabled
CRD#: 5536807
CH
Professional summary
Christopher L Harsley, who also goes by Christopher Lorance Harlsley, Christopher Lorance Harsley, is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in St Louis, Missouri.
Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Christopher has worked at 2 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher Lorance Harlsley | Christopher Lorance Harsley
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.
Insurance Agent-Mutual of Omaha, not investment related, 3636 S. Geyer Rd, Ste 150, STL MO 63127, Insurance sales (Life/health/annuities), Insurance Agent, 12/2021, approx 25 hours weekly during securities trading hours, my duties is to assess clients and prospects need for coverage to close gaps for risk that could be detrimental to their financial wellbeing. Kelly Education, not invesment related, 2458 Old Dorsett Rd Apt 321 in Maryland Heights, Missouri 63043, Substitute Teaching, Teacher, 09/2024 (Pending), approx 16 hours weekly during securities trading hours, my duties will include covering for permanent teachers who are out of the classroom for a given day.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher L Harsley'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 13, 2022 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: 3636 South Geyer Road Ste 150, St Louis, MO 63127RIA
BD
CRD#: 611
St Louis, MO
Past
August 29, 2008 - May 6, 2019
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
CREVE COEUR, MO
Past
August 20, 2008 - May 6, 2019
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
CREVE COEUR, MO
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.Highlighted states indicate IAR registrations
IAR
Missouri(12/13/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
