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Diana L. Caiarelli

Some features on this profile are disabled
CRD#: 1364800
DC

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.

Diana Lynn Caiarelli, who also goes by Diana Lynn Roth, Diana Lynn Trainer, was a registered financial professional .

Diana is a previously registered financial professional and started their career in finance in 1994. Diana had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Diana Lynn Roth | Diana Lynn Trainer

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 15, 2016 - August 24, 2020

NATIONWIDE SECURITIES, LLC

RIA
CRD#: 11173
MURRYSVILLE, PA
Past

February 15, 2016 - August 24, 2020

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
MURRYSVILLE, PA
Past

April 17, 2014 - December 11, 2014

NATIONWIDE SECURITIES, LLC

RIA
CRD#: 11173
LATROBE, PA
Past

April 17, 2014 - December 11, 2014

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
LATROBE, PA
Past

January 29, 2009 - April 30, 2012

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

December 3, 2008 - April 30, 2012

NATIONWIDE SECURITIES, LLC

RIA
CRD#: 11173
NEWARK, DE
Past

August 23, 2006 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NEWARK, DE
Past

August 3, 2006 - December 17, 2010

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
NEWARK, DE
Past

November 7, 2003 - July 21, 2006

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
PITTSBURGH, PA
Past

November 7, 2003 - July 21, 2006

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
PITTSBURGH, PA
Past

June 22, 2001 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

June 2, 1997 - January 18, 2002

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

April 19, 1994 - August 7, 1995

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

April 19, 1994 - August 7, 1995

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NS
NATIONWIDE SECURITIES, LLC
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.

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA
Registered Investment Advisory firm - SEC (7/9/2008 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/3/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/5/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/18/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/10/2008
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/11/2006
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/10/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/10/2000
General Securities Sales Supervisor - Options Module Examination

Current Firm

NS
NATIONWIDE SECURITIES, LLC
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.

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA
Registered Investment Advisory firm - SEC (7/9/2008 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Nationwide Plaza Mailing Code: 01-17-402, Columbus, OH 43215
Mailing Address
One Nationwide Plaza 1-33-401, Columbus, OH 43215
Phone number
(888) 753-7364
Established
Delaware since 10/09/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
24

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

NSLLC FORM ADV PART 2A BROCHURE (7/8/2025)

Direct owners and executive officers

NamePositionCRD#
NFS DISTRIBUTORS, INC.MANAGING MEMBER
ANIANO, JOSEPH NICHOLASPRESIDENT4303290
GINNAN, STEVEN A.BOARD MANAGER6984613
JESTICE, KEVIN THOMASBOARD MANAGER5363377
RABENSTINE, JAMES JAYVICE PRESIDENT, CHIEF COMPLIANCE OFFICER2025566
ROSWELL, EWAN THEODOREAVP, FINANCE CONTROLLERSHIP-NF AND FINOP3056545
STEVENSON, ERIC RAYBOARD MANAGER5250338

Disclosures

Regulatory Event10
Arbitration3

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.

Company Information

NATIONWIDE SECURITIES, LLC

CRD#: 11173

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