SG
Steven H. Galavotti
MUTUAL OF OMAHA INVESTOR SERVICES
Marion, MA 02738
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CRD#: 5965798
SG
Professional summary
Steven Hunt Galavotti, who also goes by Steven H Galavotti, Steven Hunt Galavotti, is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Marion, Massachusetts.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Steven has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven H Galavotti | Steven Hunt Galavotti
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.
(1) Insurance Agent; Start Date: 12/2019; Non-investment Related; Insurance lines of business: Life, Health & Annuities; Hours/per week during trading hours: 4. (2) Team Ventures LLC; Non-investment related; 2304 State Rd Plymouth MA 02360; Car Wash; Silent Partner; Start Date: 12/2019; Hours/month devoted to business:2; Number of hours devoted during trading hours: 0; Silent investor are my duties. (3) Board of Directors at Southcoast YMCA; Non Investment related; 25 Water St New Bedford MA 02740; Non Profit; Start date 1/2013; 1 hour per month; 1 Hour per month during trading hours. (4) DBA; Sippican Wealth Strategies LLC (5) Mutual of Omaha Mortgage Lead Incentive Program; not investment related. Less than 1 hour per week. Submit qualified forward/reverse mortgage leads to Mutual of Omaha Mortgage when a customer indicates a potential need for these services. (6) Team Ventures Two LLC, Non Investment Related,128 Huttleston Ave Fairhaven MA 02719; Car Wash, Silent Partner, Start date 10/2023 Hours/Month devoted to business 2;Number of hours devoted during trading hours 0;Silent Investor are my duties
CRS (Client Relationship Summary) - RIA
Click below to view Steven Hunt Galavotti's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Hunt Galavotti'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 24, 2019 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: 242 Wareham Road, Marion, MA 02738RIA
BD
CRD#: 611
Marion, MA
Current
December 16, 2019 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: 242 Wareham Road, Marion, MA 02738RIA
BD
CRD#: 611
Marion, MA
Past
October 23, 2012 - December 5, 2019
EDWARD JONES
RIA
CRD#: 250
MARION, MA
Past
October 22, 2012 - December 5, 2019
EDWARD JONES
BD
CRD#: 250
MARION, MA
Past
January 10, 2012 - October 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HYANNIS, MA
Past
October 6, 2011 - October 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HYANNIS, MA
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.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
California(3/2/2020)
RR
Connecticut(5/13/2020)
RR
Florida(3/2/2020)
RR
Massachusetts(12/16/2019)
IAR
Massachusetts(12/24/2019)
RR
Minnesota(4/3/2020)
RR
New Hampshire(1/13/2022)
RR
New Jersey(9/12/2022)
RR
Rhode Island(8/24/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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#: 611Marion, MA 02738TRUST BUT VERIFY
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