Gary D. Held
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.
Gary Dean Held was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1984. Gary had worked at 10 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2008 - August 6, 2013
NATIONWIDE INVESTMENT ADVISORS, LLC
July 3, 2008 - August 6, 2013
NATIONWIDE INVESTMENT SERVICES CORPORATION
February 5, 2008 - July 2, 2008
1717 CAPITAL MANAGEMENT COMPANY
January 7, 2005 - October 1, 2007
FARMERS FINANCIAL SOLUTIONS, LLC
May 17, 2004 - September 15, 2004
NATIONWIDE SECURITIES, LLC
March 13, 2003 - June 24, 2003
PRUCO SECURITIES, LLC.
July 19, 2001 - February 21, 2003
PRUCO SECURITIES, LLC.
October 4, 2000 - June 26, 2001
NATIONWIDE INVESTMENT SERVICES CORPORATION
October 14, 1997 - December 31, 2000
NATIONWIDE SECURITIES, LLC
November 29, 1993 - September 10, 1997
WS GRIFFITH SECURITIES, INC.
September 15, 1993 - November 29, 1993
VP DISTRIBUTORS LLC
March 21, 1989 - May 30, 1989
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 23, 1987 - August 16, 1988
1717 CAPITAL MANAGEMENT COMPANY
November 15, 1984 - April 3, 1989
HIMCO DISTRIBUTION SERVICES COMPANY
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.
