Robert J. Ellis

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CRD#: 1820583

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.

Robert James Ellis, who also goes by Bob Ellis, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1988. Robert had worked at 12 firms and has passed the Series 66, Series 63, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bob Ellis

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

December 20, 2005 - September 15, 2014

NATIONWIDE SECURITIES, LLC

CRD#: 11173

SYRACUSE, NY

Past

July 29, 2005 - December 20, 2005

1717 CAPITAL MANAGEMENT COMPANY

RIA

CRD#: 4082

JAMESVILLE, NY

Past

February 23, 2005 - December 20, 2005

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

August 5, 2004 - December 6, 2004

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

March 12, 2004 - August 4, 2004

IBN FINANCIAL SERVICES, INC.

CRD#: 42360

LIVERPOOL, NY

Past

January 2, 2004 - February 4, 2004

NEW COVENANT FUNDS DISTRIBUTOR, INC.

CRD#: 37465

JEFFERSONVILLE, IN

Past

September 10, 1999 - December 31, 2003

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

PORTLAND, ME

Past

August 31, 1995 - July 9, 1999

LEIGH BALDWIN & CO., LLC

CRD#: 38751

CAZENOVIA, NY

Past

July 5, 1995 - September 28, 1995

CYGNET SECURITIES, INC.

CRD#: 28686

WALDWICK, NJ

Past

January 8, 1991 - June 30, 1995

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

January 8, 1991 - June 30, 1995

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

November 11, 1988 - November 13, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

May 25, 1988 - November 8, 1988

JAMESON, DEWITT & ASSOCIATES, INC.

CRD#: 8169

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".

NATIONWIDE SECURITIES, LLC

NATIONWIDE ADVISORY SERVICES, INC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, LLC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, INC. | NATIONWIDE SECURITIES, LLC | NATIONWIDE SECURITIES, INC. | NATIONWIDE ADVISORY SERVICES, INC.

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA

Registered Investment Advisory firm - SEC (7/9/2008 Approved)

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

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/14/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/15/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/21/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/25/1992

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 7/8/1988

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

NATIONWIDE SECURITIES, LLC

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA

Registered Investment Advisory firm - SEC (7/9/2008 Approved)

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

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Contact information

Main Address

One Nationwide Plaza Mailing Code: 01-17-402, Columbus, OH 43215

Mailing Address

One Nationwide Plaza 1-33-401, Columbus, OH 43215

Phone number

(888) 753-7364

Established

Delaware since 10/09/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

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

Direct owners and executive officers

Name	Position	CRD#
NFS DISTRIBUTORS, INC.	MANAGING MEMBER
ANIANO, JOSEPH NICHOLAS	PRESIDENT	4303290
GINNAN, STEVEN A.	BOARD MANAGER	6984613
JESTICE, KEVIN THOMAS	BOARD MANAGER	5363377
RABENSTINE, JAMES JAY	VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	2025566
ROSWELL, EWAN THEODORE	AVP, FINANCE CONTROLLERSHIP-NF AND FINOP	3056545
STEVENSON, ERIC RAY	BOARD MANAGER	5250338

Disclosures

Regulatory Event	10
Arbitration	3

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.

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Firm Stability Insights

Robert J. Ellis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

1717 CAPITAL MANAGEMENT COMPANY

NATIONWIDE SECURITIES, LLC

HSBC BROKERAGE (USA) INC.

IBN FINANCIAL SERVICES, INC.

NEW COVENANT FUNDS DISTRIBUTOR, INC.

FORESIDE FUNDS DISTRIBUTORS LLC

LEIGH BALDWIN & CO., LLC

CYGNET SECURITIES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

LEHMAN BROTHERS INC.

JAMESON, DEWITT & ASSOCIATES, INC.

Primary Firm SEC Registration

NATIONWIDE SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/14/2005

Series 63

Date: 6/15/1988

Series 7

Date: 5/21/1988

Series 24

Date: 9/25/1992

Series 8

Date: 7/8/1988

Current Firm

NATIONWIDE SECURITIES, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NATIONWIDE SECURITIES, LLC

TRUST BUT VERIFY

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