JV
James M. Vasquez
MUTUAL OF OMAHA INVESTOR SERVICES
Midland, TX
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CRD#: 7291623
JV
Professional summary
James Michael Vasquez is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Midland, Texas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. James has worked at 1 firm and has passed the Series 63, Series 65, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 - Start Date: 09/2020 Non-investment Related - Insurance lines of business: Life, Health & Annuities. Hours/per week during trading hours: 30 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. Start date 2/1/24 - Apex Advisors, LLC.
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Vasquez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Michael Vasquez'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
March 24, 2021 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #2: 122 W John Carpenter Freeway Suite 100, Irving, TX 75039Office #3: 4305 N Garfield Ste 207, Midland, TX 79705RIA
BD
CRD#: 611
Midland, TX
Current
August 4, 2021 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Office #1: 122 W John Carpenter Freeway Suite 100, Irving, TX 75039Office #2: 4305 N Garfield Ste 207, Midland, TX 79705RIA
BD
CRD#: 611
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.
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
Arkansas(1/5/2022)
RR
Colorado(10/24/2024)
RR
Connecticut(5/21/2025)
RR
Louisiana(8/31/2023)
RR
Mississippi(1/5/2022)
RR
Missouri(10/15/2024)
RR
New Mexico(5/3/2024)
RR
Oklahoma(5/24/2023)
RR
Puerto Rico(5/28/2024)
IAR
Texas(3/24/2021)
RR
Texas(12/13/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 8/3/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
