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John Calvin Serafin

Investment Adviser Representative at MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Liverpool, NYCRD #2830706Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
22 yrs
States Registered
3 states
Exams Passed
5

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

John Calvin Serafin has worked in the securities industry since 2004. They are registered to provide investment advisory services in Colorado, New York, and Oklahoma.

Registrations & licenses

Registration type
Dual-registered
Registered in 3 states
ColoradoNew YorkOklahoma
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 2/10/2011
Series 63
Uniform Securities Agent State Law Examination
Passed 2/17/2004
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 2/27/2017
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 10/12/2004

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Mutual OF Omaha Investor Services, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.Current
2/28/2011Liverpool, NY

Official records & sources

Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. John Calvin Serafin has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

John Calvin Serafin - Financial Advisor in Liverpool, NY | AdvisorFinder