Chris E. Cannon
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.
Chris Edward Cannon was a registered financial professional .
Chris is a previously registered financial professional and started their career in finance in 1990. Chris had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2011 - April 11, 2016
NATIONWIDE INVESTMENT SERVICES CORPORATION
July 9, 2009 - December 31, 2010
FAS CORP.
February 4, 2009 - April 27, 2009
AXCELUS FINANCIAL DISTRIBUTION COMPANY
October 2, 2006 - February 4, 2009
VP DISTRIBUTORS LLC
August 12, 2004 - September 27, 2006
PRINCIPAL SECURITIES, INC.
April 3, 2001 - September 27, 2006
PRINCIPAL SECURITIES, INC.
March 1, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 1, 1990 - March 22, 2001
PRUCO SECURITIES, LLC.
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 SERVICES CORPORATION
CRD#: 7110 / SEC#: , 8-20254
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONWIDE LIFE INSURANCE COMPANY | SHAREHOLDER | |
| AMBROZY, TINA S | PRESIDENT/BOARD DIRECTOR | 3149224 |
| HAWLEY, CRAIG ALAN | BOARD DIRECTOR | 4499105 |
| RABENSTINE, JAMES JAY | CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD DIRECTOR | 5250338 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
