Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Investment Adviser Firm Summary
NATIONWIDE INVESTMENT ADVISORS, LLC ( CRD # 142373/SEC#:801-52664 )
NATIONWIDE INVESTMENT ADVISORS, LLC
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved8/30/1996
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.

JURISDICTIONEFFECTIVE DATE
Alabama2/27/1997
Alaska11/12/1996
Arizona7/8/2005
Arkansas2/27/1997
California7/8/1997
Colorado1/1/1999
Connecticut9/24/1997
Delaware11/27/2006
District of Columbia11/29/1996
Florida5/13/1996
Georgia10/7/1996
Hawaii9/29/1997
Idaho1/2/1997
Illinois2/19/1997
Indiana2/16/2001
Iowa1/1/1999
Kansas12/18/1997
Kentucky2/16/2001
Louisiana10/12/2001
Maine1/1/1997
Maryland1/1/1997
Massachusetts7/22/2005
Michigan1/5/1998
Minnesota3/11/1997
Mississippi1/20/1998
Missouri7/18/1997
Montana12/11/1997
Nebraska1/13/1998
Nevada1/2/1997
New Hampshire4/9/1997
New Jersey2/11/1997
New Mexico1/1/1997
New York12/16/1996
North Carolina2/16/2001
North Dakota11/26/1996
Ohio1/1/2000
Oklahoma1/1/1998
Oregon7/22/2005
Pennsylvania2/21/2001
Puerto Rico4/18/1997
Rhode Island10/2/1996
South Carolina2/16/2001
South Dakota1/1/1997
Tennessee1/4/1998
Texas11/22/2006
Utah5/29/1997
Vermont1/1/1997
Virginia1/2/1997
Washington9/23/1996
West Virginia10/13/1996
Wisconsin3/31/1997
Wyoming3/30/2018
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
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.