Sharon K. Seifert
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.
Sharon Kay Seifert, who also goes by Sharon Kay Larson, Sharon Larson, Sharon K Seifert, Sharon Kay Seifert Ms., Sharon Larson Seifert, was a registered financial professional .
Sharon is a previously registered financial professional and started their career in finance in 1982. Sharon had worked at 28 firms and has passed the SIE, Series 6, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2015 - September 2, 2015
NATIONWIDE SECURITIES, LLC
September 5, 2013 - March 27, 2014
AVANTAX INVESTMENT SERVICES, INC.
July 23, 2012 - February 19, 2013
NEW ENGLAND SECURITIES
March 27, 2012 - July 23, 2012
AVANTAX INVESTMENT SERVICES, INC.
July 9, 2010 - March 26, 2012
WOODBURY FINANCIAL SERVICES, INC.
September 25, 2009 - July 12, 2010
STATE FARM VP MANAGEMENT CORP.
April 9, 2007 - August 24, 2009
U.S. BANCORP INVESTMENTS, INC.
July 13, 2005 - April 9, 2007
ALLSTATE FINANCIAL SERVICES, LLC
October 31, 2002 - July 7, 2005
U.S. BANCORP INVESTMENTS, INC.
August 18, 2000 - February 21, 2003
FISERV INVESTOR SERVICES, INC.
September 1, 1999 - August 15, 2000
CAL FED INVESTMENTS
June 19, 1998 - September 30, 1999
WMA SECURITIES, INC.
March 18, 1996 - July 10, 1996
FIMCO SECURITIES GROUP, INC.
January 6, 1995 - June 27, 1995
METLIFE INVESTORS DISTRIBUTION COMPANY
June 10, 1994 - December 2, 1994
GRIFFIN FINANCIAL SERVICES
November 9, 1993 - June 2, 1994
CETERA WEALTH SERVICES, LLC
September 14, 1993 - December 22, 1993
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
May 14, 1993 - September 8, 1993
WHITEHALL-PARKER SECURITIES, INC.
April 21, 1992 - April 20, 1993
MARKETING ONE SECURITIES, INC.
October 14, 1991 - April 14, 1992
AEGON USA SECURITIES INC.
April 6, 1989 - November 14, 1989
GRIFFIN FINANCIAL SERVICES
January 27, 1989 - April 4, 1989
CAPITAL BROKERAGE CORPORATION
November 20, 1987 - December 31, 1988
INVESTORS BROKERAGE SERVICES, INC.
July 13, 1987 - October 29, 1987
AGFC INVESTMENT SECURITIES
May 13, 1986 - January 6, 1987
THE ADVISORS GROUP, INC.
February 14, 1986 - May 9, 1986
CHRISTOPHER WEIL & COMPANY, INC
September 18, 1985 - February 28, 1986
ALLIED EQUITY GROUP, A FINANCIAL SERVICES CORPORATION
July 30, 1985 - September 9, 1985
TRAFALGAR SECURITIES CORP.
October 11, 1984 - April 10, 1985
CAMBRIDGE INVESTMENTS, LTD.
July 6, 1984 - August 13, 1985
INVESTACORP, INC.
September 15, 1982 - July 27, 1984
BRETCOURT SECURITIES CORPORATION
Primary Firm SEC Registration
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
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 SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS, INC. | MANAGING MEMBER | |
| ANIANO, JOSEPH NICHOLAS | PRESIDENT | 4303290 |
| GINNAN, STEVEN A. | BOARD MANAGER | 6984613 |
| JESTICE, KEVIN THOMAS | BOARD MANAGER | 5363377 |
| RABENSTINE, JAMES JAY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD MANAGER | 5250338 |
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.
