Richard D. Landsberg
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.
Richard David Landsberg, who also goes by Rich Landsberg, Richard Landsberg, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 9 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2001 - March 4, 2014
NATIONWIDE INVESTMENT SERVICES CORPORATION
May 25, 1999 - April 20, 2001
MUTUAL SERVICE CORPORATION
May 28, 1998 - May 12, 1999
CETERA ADVISORS LLC
July 29, 1996 - June 11, 1998
LOCUST STREET SECURITIES, INC.
February 24, 1987 - November 24, 1987
B.C. CHRISTOPHER SECURITIES CO.
December 27, 1984 - February 7, 1987
AEGON USA SECURITIES INC.
June 19, 1984 - December 10, 1984
TOWER SQUARE SECURITIES, INC.
September 2, 1983 - August 17, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 2, 1983 - August 17, 1984
EQUITABLE ADVISORS, LLC
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 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.
