MG
Marc Gaillard
MUTUAL OF OMAHA INVESTOR SERVICES
Philadelphia, PA
Some features on this profile are disabled
CRD#: 6177266
MG
Professional summary
Marc Gaillard II, who also goes by Marc Gaillard, is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Philadelphia, Pennsylvania.
Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Marc has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marc Gaillard
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: 01/2016 - Non-Investment Related - Insurance lines of business: Life, Health, Disability, Variable, LTC, Annuities - Hours/per week during trading hours: 41.
(2) Kingdom Financial Principles LLC - President/CEO -Start Date 2/2019 - Insurance & Investment related & done through Mutual of Omaha and MOIS, per MOIS standards and guidelines - Provide Financial & Investment Advice, Education, & plans as per approved ADV disclosure - Hours/week during trading hours: 32.5.
(3) Kingdom Wealth Principles (Non-Profit) President -Start Date 2/2019 - Non -Investment related - Provide Financial Education to adults and children (volunteer work) - apply for Government grants to offset operating costs - Hours/week during trading hours: 5.
(4) Abundant Living For Kids (book)-Author -Start Date 2/2020 - Non -Investment related - Provide inspiration to children to achieve life goals. Write, sketch, & sell on book purchasing platforms- Hours/week during trading hours: 0, during off trading hours.
(5) Mutual of Omaha Mortgage Lead Incentive Program; not investment related. Less than 1/hr per week. Submit qualified forward/reverse mortgage leads to Mutual of Omaha Mortgage when a customer indicates a potential need for these services.
(6) Guice (Family Operated Beverage Company Start-up) - Co-Owner / Silent Partner - 7/8/2022 - Non- Investment related - produce and distribute all-natural beverages for individual & company events - Hours/week during trading hours: 0, Hours per month: 0; nonactive role in the daily operation and management.
(7) The CEO Within (DBA)** - Founder & CEO - Start Date: 04/2024 - Non-Investment Related - Provide faith-based personal and business coaching services to individuals and entrepreneurs, including premium coaching programs, digital courses, and live events. Services include mindset transformation, leadership development, and business strategy rooted in biblical principles. All coaching is non-investment related and does not involve securities, insurance, or financial products. - **Hours/week during trading hours: 6.
(8) Author (Book & E-Book Series)** - Author & Publisher - Start Date: 04/2024 - Non-Investment Related - Write, publish, and distribute faith-based personal development and entrepreneurship books and e-books. Content focuses on identity, vision, leadership, and wealth principles through a biblical lens. Published works are sold through self-publishing platforms such as Amazon and other online retailers. No advisory services or investment-related content involved. - **Hours/week during trading hours: 1.5.
(9) 12-Week Financial Literacy Program (Non-Profit)** - Educator - Start Date: 12/2025 - Non-Investment Related - Provide volunteer-based financial education to adults and students through structured workshops and curriculum. Responsibilities include teaching budgeting, saving, and general investment concepts strictly for educational purposes. No personalized investment advice, securities recommendations, or advisory services are provided. Program content is aligned with approved financial literacy standards and is designed for general education only - Hours/week during trading hours: 0.
CRS (Client Relationship Summary) - RIA
Click below to view Marc Gaillard II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marc Gaillard II'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
August 27, 2018 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
BD
CRD#: 611
Philadelphia, PA
Current
August 27, 2018 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: 30 Braintree Hill Office Park Ste 106, Braintree, MA 02184RIA
BD
CRD#: 611
Braintree, MA
Past
June 14, 2017 - April 20, 2018
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
CONSHOHOCKEN, PA
Past
October 8, 2014 - April 20, 2018
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
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
Alabama(4/9/2025)
RR
California(11/8/2024)
RR
Florida(1/7/2022)
RR
Georgia(10/22/2018)
RR
Louisiana(10/12/2020)
RR
Maryland(1/29/2025)
RR
New Jersey(8/29/2018)
RR
New York(6/27/2023)
RR
North Carolina(8/20/2025)
RR
Pennsylvania(8/27/2018)
IAR
Pennsylvania(8/27/2018)
Exams
State Security Law Exam
General Industry/Product 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.
