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JC

John L. Carter

Some features on this profile are disabled
CRD#: 1462908
JC

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.

John Laughlin Carter, who also goes by John L Carter, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1986. John had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John L Carter

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

March 10, 2016 - November 7, 2019

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA
CRD#: 142373
COLUMBUS, OH
Past

May 9, 2012 - March 24, 2016

NATIONWIDE SECURITIES, LLC

RIA
CRD#: 11173
COLUMBUS, OH
Past

December 5, 2006 - May 9, 2012

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA
CRD#: 142373
COLUMBUS, OH
Past

January 9, 2006 - December 5, 2006

NATIONWIDE INVESTMENT SERVICES CORPORATION

RIA
CRD#: 7110
COLUMBUS, OH
Past

December 20, 2005 - November 7, 2019

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

August 26, 2002 - November 11, 2005

PGIM INVESTMENTS LLC

RIA
CRD#: 105670
NEWARK, NJ
Past

November 15, 1999 - November 11, 2005

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

May 24, 1995 - September 22, 1999

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 14, 1993 - January 24, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

June 21, 1990 - December 1, 1992

CNBS

BD
CRD#: 24153
OVERLAND PARK, KS
Past

March 23, 1990 - July 13, 1990

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

March 13, 1989 - March 23, 1990

B.C. CHRISTOPHER SECURITIES CO.

BD
CRD#: 60
KANSAS CITY, MO
Past

February 19, 1986 - March 18, 1989

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, 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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/25/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/3/1986
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: 2/18/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/22/2002
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/14/2000
General Securities Principal Examination

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#: 142373

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