Stephen R. Ardinger
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.
Stephen Robert Ardinger was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1995. Stephen had worked at 12 firms and has passed the Series 63, Series 65, SIE 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
April 7, 2015 - December 31, 2018
NATIONWIDE SECURITIES, LLC
December 17, 2014 - December 31, 2018
NATIONWIDE SECURITIES, LLC
November 4, 2013 - February 27, 2014
WELLS FARGO CLEARING SERVICES, LLC
September 3, 2013 - February 27, 2014
WELLS FARGO CLEARING SERVICES, LLC
September 3, 2010 - September 14, 2011
MUCH WEALTH MANAGEMENT, INC.
October 2, 2009 - September 8, 2010
MML INVESTORS SERVICES, LLC
July 10, 2007 - September 4, 2009
MONEY CONCEPTS CAPITAL CORP
July 10, 2007 - September 4, 2009
MONEY CONCEPTS CAPITAL CORP
April 13, 2004 - November 3, 2005
EQUITY SERVICES, INC.
March 24, 2004 - November 3, 2005
EQUITY SERVICES, INC.
January 15, 2003 - September 29, 2003
MONEY CONCEPTS CAPITAL CORP
October 17, 2002 - November 11, 2002
PRINCIPAL SECURITIES, INC.
October 17, 2002 - November 11, 2002
PRINCIPAL SECURITIES, INC.
May 28, 2002 - October 23, 2002
1717 CAPITAL MANAGEMENT COMPANY
April 16, 2002 - October 23, 2002
1717 CAPITAL MANAGEMENT COMPANY
May 3, 2001 - April 18, 2002
SUNSET FINANCIAL SERVICES, INC.
May 19, 2000 - February 13, 2001
RTE SECURITIES, INC.
February 17, 1999 - May 2, 2000
DIRECTED SERVICES LLC
July 28, 1995 - July 29, 1997
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
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 SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS, INC. | MANAGING MEMBER | |
| ANIANO, JOSEPH NICHOLAS | PRESIDENT | 4303290 |
| GINNAN, STEVEN A. | BOARD MANAGER | 6984613 |
| JESTICE, KEVIN THOMAS | BOARD MANAGER | 5363377 |
| RABENSTINE, JAMES JAY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD MANAGER | 5250338 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
