Kathleen M. Findeisen
Professional summary
Kathleen Marie Findeisen, who also goes by Kathy Findeisen, Kathleen M Jones, Kathy Jones, Kathleen Marie Jones, is a registered financial advisor currently at NATIONWIDE INVESTMENT ADVISORS, LLC located in Columbus, Ohio and NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.
Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Kathleen has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Marie Findeisen's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 5, 2023 - Present
NATIONWIDE INVESTMENT ADVISORS, LLC
Office #1: One Nationwide Plaza 03-07-202, Columbus, OH 43215January 4, 2023 - Present
NATIONWIDE INVESTMENT SERVICES CORPORATION
Office #1: One Nationwide Plaza, Columbus, OH 43215November 18, 2019 - December 13, 2022
MISSIONSQUARE RETIREMENT
May 25, 2018 - December 13, 2022
MISSIONSQUARE INVESTMENT SERVICES
July 28, 2016 - January 2, 2018
EMPOWER FINANCIAL SERVICES, INC.
January 22, 2015 - February 24, 2016
FIDELITY BROKERAGE SERVICES LLC
April 19, 2007 - October 27, 2014
ONEAMERICA SECURITIES, INC.
September 27, 2000 - April 2, 2007
JOHN HANCOCK DISTRIBUTORS LLC
January 16, 1998 - September 7, 1999
ALLFIRST BROKERAGE CORPORATION
March 30, 1995 - January 26, 1996
T. ROWE PRICE INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/26/2023)
(4/26/2023)
(4/26/2023)
(1/4/2023)
(4/26/2023)
(4/26/2023)
(4/26/2023)
(1/5/2023)
(4/26/2023)
(4/26/2023)
(4/26/2023)
(4/26/2023)
Exams
FINRA
Current Firm
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
Contact information
SEC notice filing (52 States and Territories)
Documents
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 | ||
| 01/26/2024 | ||
| 10/26/2022 |
Red Flags
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