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TS

Tracy L. Spellman

Some features on this profile are disabled
CRD#: 2331876
TS

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.

Tracy Lea Spellman was a registered financial professional .

Tracy is a previously registered financial professional and started their career in finance in 1993. Tracy had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 8, 2008 - October 4, 2017

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
COLUMBUS, OH
Past

May 3, 2006 - December 12, 2007

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
HOUSTON, TX
Past

May 23, 2005 - February 10, 2006

CAPITAL ONE INVESTMENTS, LLC

BD
CRD#: 17526
NEW ORLEANS, LA
Past

January 29, 2004 - May 20, 2005

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

July 9, 2003 - November 6, 2003

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

May 2, 2003 - May 30, 2003

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

August 19, 2002 - April 8, 2003

CITISTREET FINANCIAL SERVICES LLC

RIA
CRD#: 107311
NEW ORLEANS, LA
Past

February 10, 1998 - April 8, 2003

CITISTREET EQUITIES LLC

BD
CRD#: 7447
SOMERSET, NJ
Past

July 1, 1996 - January 9, 1998

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

May 3, 1993 - July 1, 1996

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
COLUMBUS, OH

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NS
NATIONWIDE SECURITIES, LLC
NATIONWIDE ADVISORY SERVICES, INC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, LLC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, INC. | NATIONWIDE SECURITIES, LLC | NATIONWIDE SECURITIES, INC. | NATIONWIDE ADVISORY SERVICES, INC.

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA
Registered Investment Advisory firm - SEC (7/9/2008 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/14/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/25/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/4/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/6/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/30/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 11/2/1994
Investment Company Products/Variable Contracts Principal Examination

Current Firm

NS
NATIONWIDE SECURITIES, LLC
NATIONWIDE ADVISORY SERVICES, INC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, LLC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, INC. | NATIONWIDE SECURITIES, LLC | NATIONWIDE SECURITIES, INC. | NATIONWIDE ADVISORY SERVICES, INC.

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA
Registered Investment Advisory firm - SEC (7/9/2008 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Nationwide Plaza Mailing Code: 01-17-402, Columbus, OH 43215
Mailing Address
One Nationwide Plaza 1-33-401, Columbus, OH 43215
Phone number
(888) 753-7364
Established
Delaware since 10/09/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
24

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

NSLLC FORM ADV PART 2A BROCHURE (7/8/2025)

Direct owners and executive officers

NamePositionCRD#
NFS DISTRIBUTORS, INC.MANAGING MEMBER
FLAGLER, TAMMARA E.PRESIDENT5652398
GINNAN, STEVEN A.BOARD MANAGER6984613
JESTICE, KEVIN THOMASBOARD MANAGER5363377
ROSWELL, EWAN THEODOREAVP, FINANCE CONTROLLERSHIP-NF AND FINOP3056545
SEVERSON, JAMES RICHARDCHIEF COMPLIANCE OFFICER4347559

Disclosures

Regulatory Event10
Arbitration3

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.

Company Information

NATIONWIDE SECURITIES, LLC

CRD#: 11173

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