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AS

Alan D. Sanders

MUTUAL OF OMAHA INVESTOR SERVICES
Gulf Breeze, FL
Some features on this profile are disabled
CRD#: 5779990
AS

Professional summary

Alan D Sanders, who also goes by Alan Sanders, Alan Dale Sanders, is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Gulf Breeze, Florida.

Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Alan has worked at 5 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Alan Sanders | Alan Dale Sanders

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 - INSURANCE LINES OF BUSINESS: Life, Disability, Long-term Care, Medicare Supplements, Fixed Annuities NUMBER OF HOURS/mo.: 3 NAME: Gulf Breeze Chamber of Commerce POSITION: Board Member NATURE: Chamber of Commerce business INVESTMENT RELATED: No START DATE: 09/01/2025 ADDRESS: 3044 Gulf Breeze Pkwy, Gulf Breeze, FL 3563 USA DESCRIPTION: Making decisions regarding chamber of commerce membership, policies and publicity SECURITIES TRADING HOURS/mo.: 0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan D Sanders's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Alan D Sanders's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 29, 2019 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA
BD
CRD#: 611
Gulf Breeze, FL
Current

October 29, 2019 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA
BD
CRD#: 611
Gulf Breeze, FL
Past

January 22, 2019 - October 21, 2019

FARMERS FINANCIAL SOLUTIONS, LLC

RIA
CRD#: 103863
CHELSEA, AL
Past

September 6, 2017 - October 21, 2019

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
CHELSEA, AL
Past

March 25, 2017 - August 10, 2017

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
BIRMINGHAM, AL
Past

March 25, 2017 - August 10, 2017

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
BIRMINGHAM, AL
Past

January 13, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
PENSACOLA, FL
Past

January 9, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
PENSACOLA, FL
Past

June 8, 2010 - December 26, 2014

EDWARD JONES

RIA
CRD#: 250
PENSACOLA, FL
Past

May 24, 2010 - December 26, 2014

EDWARD JONES

BD
CRD#: 250
PENSACOLA, 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.
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.
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
(10/29/2019)
IAR
Alabama
(10/29/2019)
RR
Florida
(10/29/2019)
IAR
Florida
(1/21/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/4/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/20/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MUTUAL OF OMAHA INVESTOR SERVICES, INC.
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
MUTUAL OF OMAHA HOLDINGS INC.OWNER
BEES, EVAN RICHARDPRINCIPAL FINANCIAL OFFICER4662845
HUGHES, BRIANA DAWNCHIEF COMPLIANCE OFFICER4268240
PROSKOVEC, ADAM DPRESIDENT AND PRINCIPAL OPERATIONS OFFICER4957628

Regulatory assets under management

Total Number of Accounts116
AUM (Assets Under Management)$ 24,355,321

Disclosures

Regulatory Event4
Arbitration2
Bond8

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.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611Gulf Breeze, FL

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