NATIONWIDE SECURITIES, LLC of COLUMBUS, OH is an SEC-registered investment adviser (CRD 11173). This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Charities.
Showing 25 of 99 people.
| Name | Role | Location |
|---|---|---|
| THOMAS L BARNES | DIRECTOR | DALLAS, TX |
| THOMAS J BARNES | DIRECTOR | DALLAS, TX |
| Michael Joseph Miller | DIRECTOR | Del Ray Beach, FL |
| David E Hollingsworth | DIRECTOR | Round Rock, TX |
| Thomas M Barnes | DIRECTOR | Cambridge, MA |
| Thomas Richard Barnes | DIRECTOR | Beloit, WI |
| Galen R Barnes | CHAIRMAN OF THE BOARD, CEO; CHAIRMAN OF THE BOARD, CEO DIRECTOR | Pembroke, D0 |
| Michael B Miller | DIRECTOR | Little Rock, AR |
| Steven A. Ginnan | BOARD MANAGER | — |
| Ewan Theodore Roswell | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | — |
| Kevin Thomas Jestice | BOARD MANAGER | — |
| Tammara E. Flagler | PRESIDENT | — |
| James Richard Severson | CHIEF COMPLIANCE OFFICER | — |
| Michael Adam Miller | DIRECTOR | — |
| James Jay Rabenstine | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| Eric Ray Stevenson | BOARD MANAGER | — |
| Joseph Nicholas Aniano | BOARD MANAGER; PRESIDENT | — |
| BENSON MICHAEL DAVID | DIRECTOR; SENIOR VICE PRESIDENT AND TREASURER | — |
| MURPHY BRIAN JOSEPH | ASSISTANT TREASURER | — |
| KELLY DANIEL JAMES | CHIEF OPERATING OFFICER; VICE PRESIDENT AND CHIEF OPERATING OFFICER | — |
| SODEN GLENN WARREN | AVP & SECRETARY; AVP & SECRETARY; DIRECTOR | — |
| BARNES THOMAS EDWARD | AVP & ASST TREASURER; SENIOR VICE PRESIDENT & ASSISTANT SECRETARY; VICE PRESIDENT & ASSISTANT SECRETARY | — |
| HONDROS PAUL JAMES | DIRECTOR | — |
| KENNEDY MARY EILEEN | DIRECTOR | — |
| CROSSETT KEVIN STEPHEN | VICE PRESIDENT; V.P. ASSOC. GENERAL COUNSEL | — |
Showing 10 of 16 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-02-05 | regulatory | INSURANCE COMMISSIONER BELIEVES CONTROL AFFILIATE'S SALES PROCESS DID NOT INCLUDE AN ADEQUATE INDEPENDENT REVIEW OF THE RECOMMENDATIONS OF CONTROL AFFILIATE'S ANNUITIES BY THE NON-INSURANCE LICENSED INVESTMENT ADVISER OR AN ADEQUATE INDEPENDENT ANALYSIS OF CONSUMER'S INSURANCE NEEDS OR FINANCIAL OBJ… | Final | $150K |
| 2017-04-04 | regulatory | — | — | — |
| 2016-10-11 | regulatory | DURING AN ONSITE EXAM IN A NATIONWIDE SECURITIES, LLC (NSLLC) BRANCH OFFICE LOCATED IN WEST WARWICK, RHODE ISLAND ON JUNE 20, 2016, THE SECURITIES DIVISION OF RHODE ISLAND DEPARTMENT OF BUSINESS REGULATION DISCOVERED THE USE OF A BUSINESS CARD CONTAINING AN UNAPPROVED DESIGNATION THAT HAD PREVIOUSLY… | Final | $5K |
| 2011-08-05 | regulatory | NATIONWIDE LIFE INSURANCE COMPANY WAS NOT IN FULL COMPLIANCE WITH THE SEC RULE 22C-1 OF THE INVESTMENT COMPANY ACT. | Final | $8.0M |
| 2006-01-23 | regulatory | NASD ALLEGED VIOLATIONS OF (I)NASD BYLAWS, ARTICLE V, SECTIONS 2 AND 3 AND (II)NASD CONDUCT RULES 2110, 3010 AND 3070 IN CONNECTION WITH VARIOUS DISCLOSURE FILINGS THAT WERE ALLEGED TO HAVE BEEN MADE BEYOND THE DUE DATE. | Final | $31K |
| 2004-05-20 | regulatory | WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE NASD FOUND THAT NSI FAILED TO REVISE OR DISCONTINUE CERTAIN ADVERTISINFG OR SALES LITERATURE UPON RECEIVING SUGGESTED REVISIONS FROM THE NASD ADVERTISING DEPARTMENT AND FAILED TO SEEK TO OBTAIN APPROPRIATE APPROVALS PRIOR TO THE DISTRIBUTION OF CERTA… | Final | $175K |
| 2004-03-08 | regulatory | THE PENNSYLVANIA SECURITIES COMMISSION ALLEGED THAT A MARGINAL NUMBER OF SECURITIES TRANSACTIONS WERE PROCESSED BY NATIONWIDE SECURITIES, INC. DUE TO ADMINISTRATIVE LICENSING ERRORS WHICH ALLOWED TWO REGISTERED REPRESENTATIVES TO RECEIVE A MINIMAL AMOUNT OF COMMISSIONS. | Final | $77K |
| 2002-07-23 | regulatory | DURING AN UPGRADE DESIGNED TO SYCHRONIZE AND RECONCILE TWO INTERNAL LICENSING/REGISTRATION SYSTEMS, NSI DISCOVERED AND SELF DISCLOSED THAT IT HAD INADVERTENTLY FILED TO RENEW THE REGISTRATION OF FIVE PA AGENTS, DUE TO ADMINISTRATIVE ERROR. | Final | $25K |
| 2001-10-15 | regulatory | OPERATION OF BRANCHES WITHOUT THE BENEFIT OF REGISTRATION UNDER CHAPTER 517 OF FLORIDA STATUES | Final | $80K |
| 2001-08-16 | regulatory | NISC ACCEPTS AND CONSENTS WITHOUT ADMITTING OR DENYING THE ALLEGATIONS BY THE NASD OF VIOLATION OF NASD RULE 2110, SEC RULE 15C3-1. | Final | $2K |
| City | State | Employees | Phone |
|---|---|---|---|
| — | — | 1 | 502-212-3826 |
| — | — | 1 | 614-435-4907 |
| LOUISVILLE | KY | 1 | 380-251-3243 |
| MOUNT JOY | PA | 1 | 380-251-2282 |
| LOUISVILLE | KY | 1 | 502-212-5948 |
| SAN DIEGO | CA | 1 | 614-435-3643 |
| — | — | 1 | 623-229-9748 |