Steven M. Weiner
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.
Steven Merrill Weiner was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1985. Steven had worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 7 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
October 13, 2000 - January 14, 2021
NATIONWIDE INVESTMENT SERVICES CORPORATION
November 24, 1998 - December 31, 2000
NATIONWIDE SECURITIES, LLC
November 12, 1998 - November 25, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 1, 1998 - November 25, 1998
OSAIC FA, INC.
March 4, 1996 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 18, 1994 - August 2, 1994
AMERICAN GENERAL SECURITIES INCORPORATED
December 23, 1992 - May 26, 1994
OSAIC FS, INC.
June 6, 1990 - January 17, 1991
HAGAR SECURITIES CORPORATION
November 20, 1987 - December 31, 1988
MUTUAL SERVICE CORPORATION
September 24, 1985 - January 17, 1986
INTERFIRST CAPITAL CORPORATION
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
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent 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
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.
