CRD #611 · FINRA BrokerCheck + SEC IAPD

Mutual of Omaha Investor Services, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Mutual of Omaha Investor Services, Inc. ranks #1,257 of 20,055 by disclosure count (most disclosures first). Among firms registered in NE, it ranks #2 of 8 on the same disclosure sort used on the state browse page. Mutual of Omaha Investor Services, Inc. carries 6 BrokerCheck disclosures across 249 branch offices - light load for a large firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
249
branch offices
6
disclosures
#1,257 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 611 Mutual of Omaha Investor Services, Inc.

Mutual of Omaha Investor Services, Inc. · Grade B · 6 disc · 0.02/office · Large firm

  • CRD 611
  • GRADE B
  • DISC 6
  • REG 4
  • ARB 2
  • CIV 0
  • BRANCH 249
  • PER-OFF 0.02
  • RANK #1,257 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: Secu Brokerage Services (0.03 disc/office)

Secu Brokerage Services0.03Cetera Advisors LLC0.03THE Huntington Investme…0.03Mutual of Omaha Inv… (this)0.02
Disclosures per office among large firm peers (lower is cleaner)

Mutual of Omaha Investor Services, Inc. ranks #1,257 of 20,055 by disclosure count among graded broker-dealers; light load at 0.02 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

249 offices

FINRA: Medium firm

Total disclosures

6 events

On FINRA BrokerCheck

Regulatory events

4 actions

67% of all disclosures

Disclosures per office

0.02 per office

6 ÷ 249 offices

Mutual of Omaha Investor Services, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 96% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 4
Arbitrations 2
Civil Events 0
Total 6

Counts for Mutual of Omaha Investor Services, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 4 Arbitration 2 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Omaha, NE, 68175-1020
Formed
09/01/1993
State of Formation
Nebraska
CRD Number
611
SEC Number
47290

Lower disclosures per office

Mutual of Omaha Investor Services, Inc. in the heavier-disclosure third

Mutual of Omaha Investor Services, Inc. carries 6 BrokerCheck disclosures across 249 branch offices - a heavier-third raw book among graded firms (#1,257 of 20,055). Regulator-initiated events are 67% of the book (4 regulatory / 2 arbitration / 0 civil).

Mutual of Omaha Investor Services, Inc. runs 0.02 disclosures per branch office (cleaner than 96% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Mutual of Omaha Investor Services, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Nebraska cohort · 1.66× state average

Mutual of Omaha Investor Services, Inc. sits above the Nebraska disclosure average

Mutual of Omaha Investor Services, Inc. reports 6 BrokerCheck disclosures, 1.66× the Nebraska average of 3.6 across 8 graded firms with a principal-office state on file.

In Nebraska, 1 firm carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Nebraska state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Mutual of Omaha Investor Services, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Mutual of Omaha Investor Services, Inc. ranks #1,257 of 20,055 by disclosure count (most disclosures first). Among firms registered in NE, it ranks #2 of 8 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Mutual of Omaha Investor Services, Inc.?
A grade of B reflects Mutual of Omaha Investor Services, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 6 total disclosures across 249 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Mutual of Omaha Investor Services, Inc. have?
Mutual of Omaha Investor Services, Inc. has 6 total FINRA disclosures, including 4 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Mutual of Omaha Investor Services, Inc.?
Mutual of Omaha Investor Services, Inc. operates 249 branch offices and is classified by FINRA as a medium firm, registered in NE (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Mutual of Omaha Investor Services, Inc.'s disciplinary record?
You can verify Mutual of Omaha Investor Services, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 611. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Mutual of Omaha Investor Services, Inc.'s 6 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Mutual of Omaha Investor Services, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Mutual of Omaha Investor Services, Inc. carries 6 disclosures across 249 branch offices (about 0.02 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Mutual of Omaha Investor Services, Inc., both outside NE so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Secu Brokerage Services (NC) - 0.03 disclosures/office, nearest large firm peer to Mutual of Omaha Investor Services, Inc.'s 0.02
  • Cetera Advisors LLC (CO) - 0.03 disclosures/office, nearest large firm peer to Mutual of Omaha Investor Services, Inc.'s 0.02
  • THE Huntington Investment Company (OH) - 0.03 disclosures/office, nearest large firm peer to Mutual of Omaha Investor Services, Inc.'s 0.02
  • Firms in NE - state roster that includes Mutual of Omaha Investor Services, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Mutual of Omaha Investor Services, Inc..
  • Reading BrokerCheck Reports - How Mutual of Omaha Investor Services, Inc.'s 0.02 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Mutual of Omaha Investor Services, Inc..
  • Compare firms - put Mutual of Omaha Investor Services, Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.