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KM

Karine L. Miller

NATIONWIDE INVESTMENT SERVICES
Columbus, OH 43215
Some features on this profile are disabled
CRD#: 1846321
KM

Professional summary

Karine L Miller, who also goes by Karine L Evans, Karine Evanstroy, Karine L. Troy, is a registered financial professional currently at NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.

Karine is registered as a RR (Registered Representative) and started their career in finance in 1988. Karine has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Karine L Evans | Karine Evanstroy | Karine L. Troy

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 Karine L Miller'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

September 29, 2021 - Present

NATIONWIDE INVESTMENT SERVICES CORPORATION

Office #1: One Nationwide Plaza, Columbus, OH 43215
BD
CRD#: 7110
Columbus, OH
Past

October 25, 2017 - January 24, 2022

MGO SECURITIES CORP.

BD
CRD#: 37584
BEACHWOOD, OH
Past

February 16, 2010 - March 24, 2014

NYLIFE SECURITIES LLC

BD
CRD#: 5167
SEVEN HILLS, OH
Past

October 19, 1998 - December 31, 2000

NEXT ADVISORS INC.

BD
CRD#: 14612
GARFIELD HEIGHTS, OH
Past

March 3, 1995 - January 29, 1998

KEY INVESTMENTS INC.

BD
CRD#: 15873
CLEVELAND, OH
Past

January 14, 1994 - March 3, 1995

SOCIETY INVESTMENTS, INC.

BD
CRD#: 17656
Past

August 17, 1990 - January 11, 1994

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

September 20, 1988 - July 19, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
Ohio
(10/7/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/3/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/24/1995
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/25/2017
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/15/1996
General Securities 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#: 7110Columbus, OH 43215

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