Karl F. Kuenning
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.
Karl Frederick Kuenning was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1992. Karl had worked at 8 firms and has passed the Series 63, SIE, Series 7, 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
July 11, 2003 - February 6, 2023
NATIONWIDE INVESTMENT SERVICES CORPORATION
August 17, 2001 - June 24, 2003
WELLS FARGO INVESTMENTS, LLC
March 2, 2001 - July 6, 2001
BBVA COMPASS INVESTMENT SOLUTIONS, INC
January 3, 1995 - February 22, 2001
BANK UNITED SECURITIES CORP.
March 18, 1994 - December 31, 1994
TOUCHSTONE SECURITIES, INC.
September 22, 1992 - January 19, 1994
MONY SECURITIES CORPORATION
April 13, 1992 - July 23, 1992
IDS LIFE INSURANCE COMPANY
April 13, 1992 - July 23, 1992
AMERIPRISE FINANCIAL SERVICES, 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.
