Karen G. Lucius

MUTUAL OF OMAHA INVESTOR SERVICES

Midlothian, TX

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CRD#: 5833165

Professional summary

Karen G Lucius, who also goes by Karen G Lucius, Karen Wiggins Lucius, Karen G Wiggins, is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Midlothian, Texas.

Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Karen has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Karen G Lucius | Karen Wiggins Lucius | Karen G Wiggins

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) - RIA

Click below to view Karen G Lucius's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Karen G Lucius'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

February 12, 2026 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

Midlothian, TX

Current

February 12, 2026 - Present

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Office #1: Mutual Of Omaha Plaza, Omaha, NE 68175

RIA

CRD#: 611

OMAHA, NE

Past

December 1, 2022 - January 9, 2026

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

ADDISON, TX

Past

May 4, 2022 - January 9, 2026

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

ADDISON, TX

Past

August 2, 2011 - May 10, 2022

PRINCIPAL SECURITIES, INC.

CRD#: 1137

ADDISON, TX

Past

January 24, 2011 - July 26, 2011

LINCOLN INVESTMENT

CRD#: 519

IRVING, TX

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.

CRD#: 611 / SEC#: 801-61332, 8-47290

RIA

Registered Investment Advisory firm - SEC (7/30/2002 Approved)

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.

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

Texas
(2/12/2026)

IAR

Texas
(2/12/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/29/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/16/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/20/2011

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611 / SEC#: 801-61332, 8-47290

RIA

Registered Investment Advisory firm - SEC (7/30/2002 Approved)

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)

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

Name	Position	CRD#
MUTUAL OF OMAHA HOLDINGS INC.	OWNER
BEES, EVAN RICHARD	PRINCIPAL FINANCIAL OFFICER	4662845
HUGHES, BRIANA DAWN	CHIEF COMPLIANCE OFFICER	4268240
PROSKOVEC, ADAM D	PRESIDENT AND PRINCIPAL OPERATIONS OFFICER	4957628

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.

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Firm Stability Insights

Karen G. Lucius

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen G Lucius's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Karen G Lucius's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

PRINCIPAL SECURITIES, INC.

LINCOLN INVESTMENT

Primary Firm SEC Registration

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/29/2022

Series 63

Date: 8/16/2011

SIE

Date: 10/1/2018

Series 6

Date: 1/20/2011

FINRA

Current Firm

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

TRUST BUT VERIFY

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