John S. Nau

WORLD EQUITY GROUP

San Antonio, TX 78231

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CRD#: 1375273

Professional summary

John Sugg Nau is a registered financial advisor currently at WORLD EQUITY GROUP, INC. located in San Antonio, Texas and THE LEGACY COLLABORATIVE, INC. located in San Antonio, Texas.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. John has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 22 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. Annuities, Investment Related, Started 1985, Approx 5 hrs/mo, 4 hrs during trading hrs, 3512 Paesanos Parkway, Suite 200, SAN ANTONIO TX 78231, Sales of fixed & indexed annuities, Agent/self employed, Sales of Fixed & Indexed annuities to clients. 2. Private Advisors, LLC, Investment Related, Started 2003, Approx 5 hrs/mo, all during trading hrs., 3512 Paesanos Parkway, Suite 200, SAN ANTONIO TX 78231, Member/Owner/Agent, Sales of Life Insurance products to clients referred by owner/member CPA's. 3. Co-Trustee of James Stephen Nau Irrevocable Special Needs Trust, Investment Related, Started 5-2-20, Approx 2 hrs/mo, 1 during trading hrs, 3512 Paesanos Parkway, Suite 200, SAN ANTONIO TX 78231, Special needs trust, co-trustee of younger brother's trust, Duties: All financial and administrative duties. 4. The Legacy Collaborative, Inc., Investment Related, Started 1-15-2008, Approx 10 hrs/mo, all during trading hours, 3512 Paesanos Parkway, Suite 200, SAN ANTONIO TX 78231, Fees for financial planning and investment advice, President/IAR, Duties: Creating financial plans for clients, providing investment advice. 5. New First Financial Resources, Investment Related, Started 10-2017, Approx 10 hrs/mo, all during trading hours, 3512 Paesanos Parkway, Suite 200, SAN ANTONIO TX 78231, Life Insurance Producer Group, Member of Board of Directors, Board Member. 6. Nau Capital, LLC, Investment Related, Started 7-13-2015, Approx 40 hrs/mo, 20 during trading hours, 3512 Paesanos Parkway, Suite 200, SAN ANTONIO TX 78231, Nature: Sales of non-securities insurance products, Title: CEO & Owner/Member of LLC, Duties: Meet with clients involving the sale of non-securities life insurance products. 7. ELITE PRODUCER GROUP; POSITION: member NATURE: Life insurance industry producer group for sales of non-securities life insurance. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 04/19/2022 ADDRESS: 3512 Paesanos Parkway, Suite 200, SAN ANTONIO TX 78231, DESCRIPTION: Sales of non-securities life insurance. 8. Overrides on Indexed Annuities; Not investment related; 3512 Paesanos Parkway, Suite 200, SAN ANTONIO TX 78231; Nature of OBA: Facilitate the access to fixed indexed annuities for Sanger & Altgelt, LLC, a property and casualty insurance agency. The fixed indexed annuities will be sold solely by agents of Sanger & Altgelt, LLC. Any overrides will be payable to Nau Capital, LLC.; Posn/Title/Relationship: CEO of Nau Capital ,LLC; Start Date: 10/30/24; Approx Hrs/Mth for OBA: 2 Hrs; Hrs/Mth during trading hrs: 1 Hr; Duties: Provide fixed indexed annuity illustrations to agents of Sanger & Altgelt, LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Sugg Nau's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view John Sugg Nau's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

CRD#: 114591

SAN ANTONIO, TX

Past

January 14, 2008 - February 10, 2015

CRD#: 7461

BOERNE, TX

Past

August 20, 1985 - August 15, 1997

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

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".

WORLD EQUITY GROUP, INC.

CRD#: 29087 / SEC#: 801-56328, 8-44088

RIA

Registered Investment Advisory firm - SEC (3/26/1999 Approved)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(3/28/2025)

Florida
(10/8/2024)

Nevada
(3/23/2015)

Texas
(2/24/2015)

IAR

Texas
(2/5/2020)

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. Note: This rule does not apply to broker-dealer activity.

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WORLD EQUITY GROUP, INC.

CRD#: 29087 / SEC#: 801-56328, 8-44088

RIA

Registered Investment Advisory firm - SEC (3/26/1999 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

425 N Martingale Road Suite 1220, Schaumburg, IL 60173

Mailing Address

425 N Martingale Road Suite 1200, Schaumburg, IL 60173

Phone number

(847) 342-1700

Established

Illinois since 09/13/1991

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

170

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADHESION PROGRAM WRAP FEE BROCHURE (5/20/2025)

WORLD EQUITY GROUP ADV PART II (5/20/2025)

REP MANAGER PROGRAM WRAP FEE BROCHURE (5/20/2025)

Direct owners and executive officers

Name	Position	CRD#
WENTWORTH MANAGEMENT SERVICES, LLC	OWNER
DUDAS, STEPHEN STANLEY	PRESIDENT	4820047
GOULD, CRAIG MICHAEL	CHIEF EXECUTIVE OFFICER	2367293
LISHCHYNSKY, MARK JOHN JR	CHIEF OPERATING OFFICER	2478952
WEBB, WILLIAM DUDLEY JR	CHIEF COMPLIANCE OFFICER	1256777

Regulatory assets under management

Total Number of Accounts	3,151
AUM (Assets Under Management)	$ 944,844,374

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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John S. Nau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Sugg Nau's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view John Sugg Nau's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEGACY COLLABORATIVE, INC.

WORLD EQUITY GROUP, INC.

THE LEGACY COLLABORATIVE, INC.

OSAIC FS, INC.

THE LEGACY COLLABORATIVE, INC.

THE LEGACY COLLABORATIVE, INC.

THE LEGACY COLLABORATIVE, INC.

THE LEGACY COLLABORATIVE, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

WORLD EQUITY GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/16/1985

SIE

Date: 10/1/2018

Series 7

Date: 2/27/2001

Series 6

Date: 9/16/1985

Series 22

Date: 8/16/1985

Series 24

Date: 6/25/2001

FINRA

Current Firm

WORLD EQUITY GROUP, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WORLD EQUITY GROUP, INC.

TRUST BUT VERIFY

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