Joe Dan M. Junguzza

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CRD#: 6489097

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joe Dan Michael Junguzza, ChFC®, who also goes by Joe Junguzza, Joe-dan Michael Junguzza, Joe-dan Junguzza, was a registered financial professional .

Joe Dan is a previously registered financial professional and started their career in finance in 2015. Joe Dan had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joe Junguzza | Joe-Dan Michael Junguzza | Joe-Dan Junguzza

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: 04/2018 - Non-investment Related - Insurance lines of business: LIFE, HEALTH, DISABILITY, LTC, EIA, VARIABLE ANNUITY Hours/per week during trading hours: 40 2) RENTAL PROPERTIES | INVESTMENT RELATED - NO | DBA NAME: N/A | POSITION HELD: PROPRIETOR/OWNER | ADDRESS: N/A | START DT: 5/1/2005 | NATURE OF ACTIVITY: RENTAL PROPERTY OWNER | APPROX HRS PER MTH: LESS THAN 10 HRS | APPROX TRADING HRS PER MTH: LESS THAN 10 HRS | DESCRIPTION OF DUTIES: 100% OWNER OF PROPERTY: 404 W. MAIN, NORRISTOWN, PA 198401 (5/2005);READING STATEMENTS AND APPROVING REPAIRS TO PROPERTIES. 3) Government Contracting for SDVOB (Veteran-Owned Business) - Not Investment related - DBA NAME: Paratusfuels POSITION HELD: Owner Address 133 Elm drive Lansdale PA 19446 NATURE OF ACTIVITY: Biofuel sales to government Trading hours; Less than 10 hours, Description of duties; oversight and owner 4) US ARMY RESERVES | INVESTMENT RELATED - NO | DBA NAME: UNITED STATES ARMY RESERVE | POSITION HELD: EMPLOYEE | ADDRESS: 5231 SOUTH SCOTT PLAZA, FORT DIX NJ 08640 | START DT: 5/1/1997 | NATURE OF ACTIVITY: OTHERNATIONAL DEFENSE / ARMY | APPROX HRS PER MTH: 10-25 HRS | APPROX TRADING HRS PER MTH: LESS THAN 10 HRS | DESCRIPTION OF DUTIES: LT. COL OF TRAINING UNIT.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

ChFC^®

Chartered Financial Consultant

Experience

Past

May 17, 2018 - October 26, 2023

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

BLUE BELL, PA

Past

May 17, 2018 - October 26, 2023

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

BLUE BELL, PA

Past

August 15, 2016 - April 26, 2018

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

CONSHOHOCKEN, PA

Past

May 25, 2016 - April 26, 2018

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

January 15, 2016 - May 13, 2016

BANKERS LIFE SECURITIES, INC.

CRD#: 173962

KING OF PRUSSIA, PA

Past

June 1, 2015 - February 5, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

KING OF PRUSSIA, 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.

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/10/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/26/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/14/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/1/2015

Investment Company Products/Variable Contracts Representative Examination

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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Joe Dan M. Junguzza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

BANKERS LIFE SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

Primary Firm SEC Registration

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/10/2016

Series 63

Date: 6/26/2015

SIE

Date: 10/1/2018

Series 7

Date: 12/14/2016

Series 6

Date: 6/1/2015

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.

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