NATIONWIDE SECURITIES, LLC
Adviser information for NATIONWIDE SECURITIES, LLC last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 26 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 26 |
| Registered State Investment Advisers | 26 |
| Licensed Agents of an Insurance Company | 18 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 79 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 79 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-69260 |
|---|---|
| SEC ERA File Number | 801-69260 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 11173 |
| Legal Entity Identifier | None |
Principal Office
10 WEST NATIONWIDE BLVDMAILING CODE: 5-02-302
COLUMBUS
OH
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 888-753-7364, Fax: 614-249-3812
Chief Compliance Officer
JAMES RABENSTINE
CHIEF COMPLIANCE OFFICER
ONE NATIONWIDE PLAZA
MAIL CODE: 01-33-401
COLUMBUS
OH
United States
Tel:
614-677-1643
Fax:
614-249-3812
R******@*************M
(Full email address available in API data)
Regulatory Contact
JAMES SEVERSON
SENIOR DIRECTOR, CORPORATE COMPLIANCE
ONE NATIONWIDE PLAZA
MAIL CODE: 01-33-401
COLUMBUS
OH
United States
Tel:
724-503-5684
S******@*************M
(Full email address available in API data)
Industry Affiliates
| JEFFERSON NATIONAL LIFE INSURANCE | Insurance company or agency |
| JEFFERSON NATIONAL LIFE INSURANCE COMPANY OF NEW YORK | Insurance company or agency |
| NATIONWIDE ASSET MANAGEMENT, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NATIONWIDE FUND ADVISORS | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| NATIONWIDE FUND DISTRIBUTORS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NATIONWIDE INVESTMENT ADVISORS, LLC | Other investment adviser, including financial planners |
| NATIONWIDE INVESTMENT SERVICES CORPORATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NATIONWIDE LIFE AND ANNUITY INSURANCE COMPANY | Insurance company or agency |
| NATIONWIDE LIFE INSURANCE COMPANY | Insurance company or agency |
| NATIONWIDE TRUST COMPANY, FSB | Banking or thrift institution |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NATIONWIDE FINANCIAL SERVICES, INC. | Domestic Entity | NFS DISTRIBUTORS, INC. | SHAREHOLDER | 12/1998 | > 75% |
| NATIONWIDE CORPORATION | Domestic Entity | NATIONWIDE FINANCIAL SERVICES, INC. | SHAREHOLDER | 10/2002 | > 75% |
| RABENSTINE, JAMES JAY | Individual | – | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 06/2009 | < 5% |
| NFS DISTRIBUTORS, INC. | Domestic Entity | – | MANAGING MEMBER | 11/2009 | > 75% |
| NATIONWIDE MUTUAL INSURANCE COMPANY | Domestic Entity | NATIONWIDE CORPORATION | SHAREHOLDER | 05/1998 | > 75% |
| GINNAN, STEVEN A. | Individual | – | BOARD MANAGER | 06/2018 | < 5% |
| ROSWELL, EWAN THEODORE | Individual | – | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 09/2018 | < 5% |
| STEVENSON, ERIC RAY | Individual | – | BOARD MANAGER | 10/2019 | < 5% |
| ANIANO, JOSEPH NICHOLAS | Individual | – | PRESIDENT | 09/2021 | < 5% |
| JESTICE, KEVIN THOMAS | Individual | – | BOARD MANAGER | 02/2023 | < 5% |