DB
Dean V. Boucounis
MUTUAL OF OMAHA INVESTOR SERVICES
Grand Island, NY
Some features on this profile are disabled
CRD#: 845180
DB
Professional summary
Dean V Boucounis is a registered financial advisor currently at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located in Grand Island, New York.
Dean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Dean has worked at 1 firm and has passed the Series 65, Series 63, Series 22TO, Series 6TO, SIE and Series 1 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.
BOUCOUNIS FINANCIAL SERVICES INC, PRES & SOLE STOCKHOLDER, 1/09. DEAN BOUCOUNIS INSURANCE AGENCY, OPENED FOR PURPOSE OF UTILITIES NEEDED FOR OFFICE, EST APPROX 1989, NO COMP VIA DBA. Insurance Agent; Non-Investment Related; Start Date: 1974; Insurance Lines: Health, Life, and Annuities. Member of Stewardship and Outreach Committee, Annunciation Greek Orthodox Church 146 Utica St Buffalo NY 14222, Not Investment-Related, Start Jan 2022, One monthly meeting, Typically no hours during trading hours, This Committee seeks to increase the participation and commitment of parishioners to our Church and its services and activities. Current projects include improving the Church's communications (mailings, emails, and social media); instituting a Greeters program to welcome and guide parishioners and visitors; helping with the Church's annual stewardship appeal; updating the community photo directory; and creating informal gatherings to meet and discuss the Church and our faith. Volunteers are welcome to work on projects such as writing and editing communications, serving as greeters on Sunday, or helping with other stewardship/outreach activities and events. Roswell Park Comprehensive Cancer Center. 665 Elm Sr Buffalo NY 14203. Not Investment Related. Start January 2025. When people come into the hospital, I will be greeting them and welcoming them to the facility as well as providing information and answering any questions that they may have pertaining to where they need to go for their appointments. I will also approach individuals and asked if there's anything I can do to be of help to them to make their stay more comfortable. From time to time instead of being stationary his people into the hospital I may walk around to see if I can be of service to anybody. I will not be offering any financial advice or advice about investments. Annunciation Church Orthodox Action Soup Kitchen. Not Investment related. The 2nd and last Saturday of the month I help serve meals to homeless and less fortunate individuals.
CRS (Client Relationship Summary) - RIA
Click below to view Dean V Boucounis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dean V Boucounis'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
April 27, 2004 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
BD
CRD#: 611
Grand Island, NY
Current
November 10, 1977 - Present
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
BD
CRD#: 611
Grand Island, NY
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
Delaware(11/30/2022)
RR
Florida(4/30/1998)
RR
Nevada(2/3/2022)
RR
New Jersey(2/23/2023)
RR
New York(11/17/1981)
IAR
New York(7/23/2021)
RR
North Carolina(4/23/2020)
RR
Pennsylvania(9/26/2019)
RR
South Carolina(1/11/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 11/4/1977
Registered Representative ExaminationSRO 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.
