Patricia A. Lundberg
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.
Patricia Ann Lundberg was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1984. Patricia had worked at 12 firms and has passed the Series 63, SIE, Series 7 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
December 3, 2014 - August 12, 2020
NATIONWIDE INVESTMENT SERVICES CORPORATION
October 2, 2013 - April 15, 2014
VOYA FINANCIAL PARTNERS, LLC
January 2, 2013 - September 20, 2013
MML DISTRIBUTORS, LLC
January 1, 2009 - January 2, 2013
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
October 3, 1996 - January 1, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
September 7, 1994 - September 10, 1996
EMPOWER FINANCIAL SERVICES, INC.
April 19, 1994 - August 16, 1994
MORGAN STANLEY DW INC.
June 25, 1991 - June 16, 1994
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
April 11, 1990 - June 21, 1991
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 21, 1988 - August 8, 1988
CAPITAL BROKERAGE CORPORATION
April 30, 1985 - April 9, 1988
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
August 1, 1984 - April 30, 1985
GWF SECURITIES, CORP.
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
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