David D. Wolfe
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.
David Dean Wolfe was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 8 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2015 - September 27, 2016
NATIONWIDE INVESTMENT ADVISORS, LLC
August 28, 2012 - November 13, 2012
NATIONWIDE INVESTMENT ADVISORS, LLC
October 27, 2011 - May 11, 2012
NATIONWIDE INVESTMENT ADVISORS, LLC
January 7, 2008 - February 6, 2009
NATIONWIDE INVESTMENT ADVISORS, LLC
February 18, 1999 - July 27, 2022
NATIONWIDE INVESTMENT SERVICES CORPORATION
August 17, 1998 - June 18, 1999
NATIONWIDE SECURITIES, LLC
May 30, 1996 - December 18, 1997
SENTRY EQUITY SERVICES, INC.
April 3, 1995 - February 23, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 3, 1995 - February 23, 1996
OSAIC FA, INC.
February 20, 1992 - December 14, 1993
AMERICAN GENERAL EQUITY SERVICES CORPORATION
October 5, 1987 - February 27, 1990
HORACE MANN INVESTORS, INC.
Primary Firm SEC Registration
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
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
Current Firm
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 270,365 |
| AUM (Assets Under Management) | $ 15,686,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 01/26/2024 | ||
| 10/26/2022 |
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.
