Bruce M. Guarino
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.
Bruce Michael Guarino, AIF®, CFP® was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1982. Bruce had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2018 - February 24, 2026
NATIONWIDE INVESTMENT ADVISORS, LLC
August 21, 2018 - February 24, 2026
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 10, 2016 - January 5, 2018
NATIONWIDE INVESTMENT ADVISORS, LLC
June 14, 2011 - March 21, 2016
NATIONWIDE SECURITIES, LLC
July 1, 2010 - January 5, 2018
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 15, 2009 - May 6, 2010
NATIONWIDE SECURITIES, LLC
May 14, 2008 - November 17, 2008
BNY MELLON SECURITIES CORPORATION
May 7, 2008 - November 17, 2008
BNY MELLON SECURITIES CORPORATION
December 15, 1997 - March 28, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
August 28, 1986 - December 24, 1986
AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC.
April 5, 1982 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
April 5, 1982 - July 3, 2006
IDS LIFE INSURANCE COMPANY
April 5, 1982 - March 28, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
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
Current Firm
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 270,365 |
| AUM (Assets Under Management) | $ 15,686,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 01/26/2024 | ||
| 10/26/2022 |
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.
