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Investment Adviser Firm Summary

MUTUAL OF OMAHA INVESTOR SERVICES, INC. (CRD# 611 / SEC# 8-47290, 801-61332)
Alternate Names: MOFA , MOIS , MUTUAL OF OMAHA ADVISORS , MUTUAL OF OMAHA FINANCIAL ADVISORS , MUTUAL OF OMAHA FUND MANAGEMENT COMPANY , MUTUAL OF OMAHA INVESTOR SERVICES, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/30/2002

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 04/03/2009
Alaska 03/28/2014
Arizona 10/01/2003
Arkansas 10/08/2004
California 08/09/2005
Colorado 01/13/2005
Connecticut 07/25/2006
Delaware 08/25/2003
District of Columbia 03/31/2011
Florida 02/23/2006
Georgia 04/22/2009
Hawaii 01/04/2007
Idaho 03/28/2013
Illinois 04/20/2009
Indiana 01/04/2007
Iowa 07/30/2002
Kansas 08/18/2005
Kentucky 05/28/2013
Louisiana 10/06/2004
Maine 03/28/2013
Maryland 07/21/2005
Massachusetts 07/30/2002
Michigan 07/30/2002
Minnesota 06/14/2005
Mississippi 09/30/2010
Missouri 09/25/2007
Montana 01/03/2008
Nebraska 07/30/2002
Nevada 03/30/2010
New Hampshire 02/03/2009
New Jersey 07/30/2002
New Mexico 03/28/2013
New York 07/30/2002
North Carolina 07/30/2002
North Dakota 09/25/2007
Ohio 03/30/2007
Oklahoma 09/19/2013
Oregon 03/31/2011
Pennsylvania 07/30/2002
Puerto Rico 03/30/2015
Rhode Island 03/28/2013
South Carolina 01/03/2008
South Dakota 02/23/2006
Tennessee 04/06/2009
Texas 03/28/2008
Utah 03/28/2013
Vermont 03/28/2014
Virginia 03/30/2004
Washington 03/05/2007
West Virginia 03/30/2010
Wisconsin 07/30/2002
Wyoming 01/19/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser