Dwight H. Johnson

Some features on this profile are disabled

CRD#: 1004472

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.

Dwight Henderson Johnson was a registered financial professional .

Dwight is a previously registered financial professional and started their career in finance in 1981. Dwight had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 20, 2007 - December 31, 2018

NATIONWIDE SECURITIES, LLC

CRD#: 11173

SAN JOSE, CA

Past

December 4, 2002 - February 10, 2006

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

June 10, 1999 - December 31, 2000

NORTHSTAR SECURITIES, INC.

CRD#: 11247

DALLAS, TX

Past

January 16, 1996 - June 4, 1997

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

May 24, 1994 - December 31, 1995

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

April 19, 1993 - December 17, 1993

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

December 24, 1991 - December 31, 1992

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

September 19, 1985 - December 31, 1990

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

December 2, 1981 - January 22, 1985

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

October 5, 1981 - December 21, 1981

WADDELL & REED

CRD#: 866

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NATIONWIDE SECURITIES, LLC

NATIONWIDE ADVISORY SERVICES, INC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, LLC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, INC. | NATIONWIDE SECURITIES, LLC | NATIONWIDE SECURITIES, INC. | NATIONWIDE ADVISORY SERVICES, INC.

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA

Registered Investment Advisory firm - SEC (7/9/2008 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/22/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/19/1981

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 9/30/1981

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 8/23/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/16/1983

General Securities Principal Examination

Current Firm

NATIONWIDE SECURITIES, LLC

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA

Registered Investment Advisory firm - SEC (7/9/2008 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Nationwide Plaza Mailing Code: 01-17-402, Columbus, OH 43215

Mailing Address

One Nationwide Plaza 1-33-401, Columbus, OH 43215

Phone number

(888) 753-7364

Established

Delaware since 10/09/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NSLLC FORM ADV PART 2A BROCHURE (7/8/2025)

Direct owners and executive officers

Name	Position	CRD#
NFS DISTRIBUTORS, INC.	MANAGING MEMBER
FLAGLER, TAMMARA E.	PRESIDENT	5652398
GINNAN, STEVEN A.	BOARD MANAGER	6984613
JESTICE, KEVIN THOMAS	BOARD MANAGER	5363377
ROSWELL, EWAN THEODORE	AVP, FINANCE CONTROLLERSHIP-NF AND FINOP	3056545
SEVERSON, JAMES RICHARD	CHIEF COMPLIANCE OFFICER	4347559

Disclosures

Regulatory Event	10
Arbitration	3

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Dwight H. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NATIONWIDE SECURITIES, LLC

NORTHSTAR SECURITIES, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

OSAIC FS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

WADDELL & REED

Primary Firm SEC Registration

NATIONWIDE SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/22/1982

SIE

Date: 10/1/2018

Series 7

Date: 12/19/1981

Series 22

Date: 9/30/1981

Series 6

Date: 8/23/1981

Series 24

Date: 12/16/1983

Current Firm

NATIONWIDE SECURITIES, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NATIONWIDE SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors