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JK

John R. Knier

NATIONWIDE INVESTMENT SERVICES
CHARLOTTE, NC
Some features on this profile are disabled
CRD#: 1488918
JK

Professional summary

John Radford Knier is a registered financial professional currently at NATIONWIDE INVESTMENT SERVICES CORPORATION located in Charlotte, North Carolina.

John is registered as a RR (Registered Representative) and started their career in finance in 1986. John has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view John Radford Knier's 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

January 14, 2004 - Present

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
CHARLOTTE, NC
Past

April 9, 2003 - January 14, 2004

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
CHARLOTTE, NC
Past

April 7, 2003 - January 14, 2004

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA
Past

March 19, 2003 - April 9, 2003

EQUITY SERVICES, INC.

RIA
CRD#: 265
CHARLOTTE, NC
Past

March 6, 1998 - April 9, 2003

EQUITY SERVICES, INC.

BD
CRD#: 265
MONTPELIER, VT
Past

August 30, 1993 - March 5, 1998

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
HARTFORD, CT
Past

May 5, 1986 - August 30, 1993

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
North Carolina
(6/8/2005)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/15/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/9/1986
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 6
Date: 5/2/1986
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 2/5/2019
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NI
NATIONWIDE INVESTMENT SERVICES CORPORATION
NATIONWIDE INVESTMENT ADVISORS, LLC | PEBSCO SECURITIES CORP. | NATIONWIDE RETIREMENT INSTITUTE, A DIVISION OF NISC | NATIONWIDE INVESTMENT SVCS. CORPORATION | NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110 / SEC#: , 8-20254

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

Main Address
One Nationwide Plaza 1-33-401, Columbus, OH 43215
Mailing Address
One Nationwide Plaza 1-33-401, Columbus, OH 43215
Phone number
+1 (800) 882-2822
Established
Oklahoma since 03/19/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
NATIONWIDE LIFE INSURANCE COMPANYSHAREHOLDER
AMBROZY, TINA SPRESIDENT/BOARD DIRECTOR3149224
HAWLEY, CRAIG ALANBOARD DIRECTOR4499105
RABENSTINE, JAMES JAYCHIEF COMPLIANCE OFFICER2025566
ROSWELL, EWAN THEODOREAVP, FINANCE CONTROLLERSHIP-NF AND FINOP3056545
STEVENSON, ERIC RAYBOARD DIRECTOR5250338

Disclosures

Regulatory Event4
Arbitration1

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 SERVICES CORPORATION

CRD#: 7110Charlotte, NC

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