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CG

Claude A. Gregory

NATIONWIDE INVESTMENT ADVISORS
COLUMBUS, OH 43215
Some features on this profile are disabled
CRD#: 1400747
CG

Professional summary

Claude Andre Gregory is a registered financial advisor currently at NATIONWIDE INVESTMENT ADVISORS, LLC located in Columbus, Ohio and NATIONWIDE INVESTMENT SERVICES CORPORATION located in Hunt Valley, Maryland.

Claude is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Claude has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Claude Andre Gregory's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

December 19, 2017 - Present

NATIONWIDE INVESTMENT ADVISORS, LLC

Office #1: One Nationwide Plaza 03-07-202, Columbus, OH 43215
RIA
CRD#: 142373
COLUMBUS, OH
Current

December 19, 2017 - Present

NATIONWIDE INVESTMENT SERVICES CORPORATION

Office #1: 11350 Mccormick Road Plaza I, Suite 400, Hunt Valley, MD 21031
BD
CRD#: 7110
Hunt Valley, MD
Past

February 26, 2013 - March 2, 2017

FSC SECURITIES CORPORATION

RIA
CRD#: 7461
SILVER SPRING, MD
Past

February 26, 2013 - March 2, 2017

FSC SECURITIES CORPORATION

BD
CRD#: 7461
SILVER SPRING, MD
Past

August 8, 2005 - May 1, 2012

FRS SECURITIES, LLC

BD
CRD#: 134350
SILVER SPRING, MD
Past

April 16, 2001 - August 25, 2005

FSC SECURITIES CORPORATION

RIA
CRD#: 7461
SILVER SPRING, MD
Past

July 19, 2000 - August 25, 2005

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA
Past

July 15, 1998 - July 21, 2000

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

May 1, 1997 - June 26, 1998

AON SECURITIES LLC

BD
CRD#: 4138
CHICAGO, IL
Past

March 15, 1996 - May 1, 1997

ALEXANDER & ALEXANDER SECURITIES CORP.

BD
CRD#: 7907
HOUSTON, TX
Past

February 7, 1994 - May 9, 1994

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

February 7, 1994 - May 9, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

December 24, 1986 - February 18, 1994

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Past

September 27, 1985 - February 18, 1994

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

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".
NI
NATIONWIDE INVESTMENT ADVISORS, LLC
NATIONWIDE INVESTMENT ADVISORS, LLC

CRD#: 142373 / SEC#: 801-52664

RIA
Registered Investment Advisory firm - (8/30/1996 Approved)

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.
RR
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

RR
Maryland
(12/19/2017)
IAR
Maryland
(12/19/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/17/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/2/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/30/1992
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/26/1985
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/7/2005
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/6/2001
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NI
NATIONWIDE INVESTMENT ADVISORS, LLC
NATIONWIDE INVESTMENT ADVISORS, LLC

CRD#: 142373 / SEC#: 801-52664

RIA
Registered Investment Advisory firm - (8/30/1996 Approved)
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Contact information

Main Address
One Nationwide Plaza 03-07-202, Columbus, OH 43215
Mailing Address
Phone number
(614) 435-8371
Established
Firm type
Fiscal year end
# of Employees
417

SEC notice filing (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

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

Regulatory assets under management

Total Number of Accounts270,365
AUM (Assets Under Management)$ 15,686,000,000

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/25/2024
Cover Page
Report
01/26/2024
Cover Page
Report
10/26/2022
Cover Page
Report

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 INVESTMENT ADVISORS, LLC

CRD#: 142373Columbus, OH 43215

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