David James Capps
Professional Summary
David James Capps, who also goes by David James Capps Sr, David Capps, David James Capps Sr Sr, David James Capps Sr., was a registered financial advisor. David was a previously registered financial professional and started their career in finance 1984 - 2016. David had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 8, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David James Capps Sr, David Capps, David James Capps Sr Sr, David James Capps Sr.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
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.
Contact Information
Main Address
One Nationwide Plaza Mailing Code: 01-17-402, Columbus, OH 43215Mailing Address
One Nationwide Plaza 1-33-401, Columbus, OH 43215Phone Number
(888) 753-7364Established
Delaware since 10/09/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
26SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS, INC. | MANAGING MEMBER | — |
| ANIANO, JOSEPH NICHOLAS | BOARD MANAGER | 4303290 |
| 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
10Arbitration
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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.
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Primary Firm SEC Registration
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.
State Registrations and Notice Filings
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Jun 1984About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 1984About the Series 6 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Oct 1995Similar Advisors
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CRS (Client Relationship Summary)
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