Craig J. Shechter
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.
Craig Jeffrey Shechter, CFP® was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1991. Craig had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2018 - August 15, 2019
NATIONWIDE INVESTMENT SERVICES CORPORATION
June 18, 2013 - August 23, 2013
VALIC FINANCIAL ADVISORS, INC.
May 31, 2013 - August 23, 2013
VALIC FINANCIAL ADVISORS, INC.
September 22, 2008 - June 12, 2013
KESTRA INVESTMENT SERVICES, LLC
June 4, 2008 - June 12, 2013
KESTRA INVESTMENT SERVICES, LLC
May 1, 2006 - May 30, 2008
CPI CAPITAL
May 1, 2006 - May 30, 2008
CPI CAPITAL
February 25, 1999 - April 28, 2006
CHARLES W. CAMMACK ASSOCIATES, INC.
May 2, 1997 - November 2, 1998
INVESTORS CAPITAL CORP.
January 21, 1991 - January 11, 1996
LUTHERAN BROTHERHOOD SECURITIES CORP.
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.
