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Mark McRoy

Mutual OF Omaha Investor Services, Inc.

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About Mark McRoy

Mark McRoy is an investment advisor representative at Mutual Of Omaha Investor Services, Inc.. Mark is licensed in New Jersey and Virginia and has been in the industry since 2013. Mark has a Series 6 and Series 63 license as well as the SIE exam and the Series 65 exam. Mark has experience in financial planning and portfolio management for individuals.

Firm Information

Mark McRoy is currently registered with Mutual OF Omaha Investor Services, Inc.. Mutual OF Omaha Investor Services, Inc. is a Corporation formed in September 1993, headquartered in Omaha, Nebraska. The firm offers financial planning and portfolio management for individuals and select client types such as high-net-worth individuals, corporations, charitable organizations, and pension plans. With over 700 licensed agents, investment advisor representatives, and registered representatives, the firm provides a wide range of services to its clients.
Mutual OF Omaha Investor Services, Inc.

3300 MUTUAL OF OMAHA PLAZA

OMAHA, NE 68175-1020

$15.50M

Assets Under Management

6,290

Total Clients

387

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Promoter fees and third party money manager fees

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Mark McRoy’s Registration & Firm History

VA

09/10/2021 - Present

Mutual OF Omaha Investor Services, Inc. (GLEN ALLEN VA)

VA

05/01/2020 - 08/18/2020

ALLSTATE FINANCIAL SERVICES, LLC (Roanoke VA)

VA

09/25/2018 - 04/27/2020

NYLIFE SECURITIES LLC (VINTON VA)

VA

02/04/2013 - 10/22/2015

MUTUAL OF OMAHA INVESTOR SERVICES, INC. (ROANOKE VA)

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Licenses & Designations

IA

Issued 09/09/2021

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/09/2018

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/25/2018

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Mark McRoy.
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