Luis A. Ricardo

NATIONWIDE INVESTMENT ADVISORS

COLUMBUS, OH 43215

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CRD#: 1831268

Professional summary

Luis Adolfo Ricardo, who also goes by Luis A Ricardo, Luis Ricardo, is a registered financial advisor currently at NATIONWIDE INVESTMENT ADVISORS, LLC located in Columbus, Ohio and NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.

Luis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Luis has worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Luis A Ricardo | Luis Ricardo

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.

--Position: Musician Company/Employer: Self-employed Musician Location: Houston, TX Start Date: 10/17/2017 Hours Devoted Monthly: 12 Hours During Trading Hours: 0 Investment Related: No

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luis Adolfo Ricardo's CRS (Customer Relationship Summary).

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

October 10, 2023 - Present

NATIONWIDE INVESTMENT ADVISORS, LLC

Office #1: One Nationwide Plaza 03-07-202, Columbus, OH 43215

RIA

CRD#: 142373

COLUMBUS, OH

Current

October 10, 2023 - Present

NATIONWIDE INVESTMENT SERVICES CORPORATION

Office #1: One Nationwide Plaza, Columbus, OH 43215

CRD#: 7110

Columbus, OH

Past

June 14, 2022 - September 20, 2023

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

HOUSTON, TX

Past

June 13, 2022 - September 20, 2023

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

March 23, 2017 - June 14, 2022

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Houston, TX

Past

March 7, 2017 - June 14, 2022

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Houston, TX

Past

January 6, 2012 - February 24, 2017

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

HOUSTON, TX

Past

January 6, 2012 - February 24, 2017

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

HOUSTON, TX

Past

May 5, 2011 - January 6, 2012

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

HOUSTON, TX

Past

March 17, 2010 - January 6, 2012

WORLD GROUP SECURITIES, INC.

CRD#: 114473

HOUSTON, TX

Past

February 3, 2005 - November 2, 2009

PRINCIPAL SECURITIES, INC.

CRD#: 1137

HOUSTON, TX

Past

May 12, 2000 - February 17, 2005

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

November 18, 1996 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

November 18, 1996 - May 4, 2000

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

February 13, 1996 - November 6, 1996

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

July 15, 1992 - February 1, 1995

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

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 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

Ohio
(10/10/2023)

Texas
(10/10/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/15/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/24/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/13/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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 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	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.

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Firm Stability Insights

Luis A. Ricardo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luis Adolfo Ricardo's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE INVESTMENT SERVICES CORPORATION

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

ALLSTATE FINANCIAL SERVICES, LLC

ALLSTATE FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

INVESTMENT ADVISORS INTERNATIONAL, INC.

WORLD GROUP SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

1717 CAPITAL MANAGEMENT COMPANY

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

GUARDIAN INVESTOR SERVICES LLC

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

NATIONWIDE INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/15/2011

Series 63

Date: 7/24/1992

SIE

Date: 10/1/2018

Series 6

Date: 7/13/1992

FINRA

Current Firm

NATIONWIDE INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NATIONWIDE INVESTMENT ADVISORS, LLC

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