Stephen W. Tully
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen William Tully was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 26 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2009 - March 16, 2020
NATIONWIDE INVESTMENT SERVICES CORPORATION
February 7, 2008 - November 26, 2008
AST INVESTMENT SERVICES, INC.
January 16, 2008 - November 26, 2008
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
January 3, 2006 - December 31, 2007
PGIM INVESTMENTS LLC
November 17, 2004 - December 31, 2007
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
July 8, 2002 - November 1, 2004
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 10, 2001 - June 5, 2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
January 9, 1991 - January 11, 2001
PRUDENTIAL EQUITY GROUP, LLC
January 4, 1988 - January 11, 1991
MORGAN STANLEY DW INC.
September 22, 1983 - January 18, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 6/28/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NATIONWIDE INVESTMENT SERVICES CORPORATION
CRD#: 7110 / SEC#: , 8-20254
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONWIDE LIFE INSURANCE COMPANY | SHAREHOLDER | |
| AMBROZY, TINA S | PRESIDENT/BOARD DIRECTOR | 3149224 |
| HAWLEY, CRAIG ALAN | BOARD DIRECTOR | 4499105 |
| RABENSTINE, JAMES JAY | CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD DIRECTOR | 5250338 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
