Eric D. Carson
Professional summary
Eric David Carson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Eric is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Eric had worked at 2 firms, which includes NATIONWIDE INVESTMENT SERVICES CORPORATION, CITISTREET EQUITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 24, 1996 - March 18, 1999
NATIONWIDE INVESTMENT SERVICES CORPORATION
December 14, 1994 - February 23, 1996
CITISTREET EQUITIES 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
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