Troy V. Simmons
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.
Troy Vincent Simmons was a registered financial professional .
Troy is a previously registered financial professional and started their career in finance in 1994. Troy had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 7 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
June 27, 2011 - July 1, 2021
NATIONWIDE INVESTMENT SERVICES CORPORATION
August 19, 2010 - June 23, 2011
AMERICAN GENERAL EQUITY SERVICES CORPORATION
October 4, 2002 - March 25, 2009
EVERLAKE DISTRIBUTORS, LLC
March 8, 2000 - October 4, 2002
AFD, INC.
July 16, 1999 - July 12, 2000
BANC ONE SECURITIES CORPORATION
July 15, 1998 - February 24, 1999
OLD KENT FINANCIAL ADVISORS
November 6, 1996 - May 15, 1998
FORESIDE DISTRIBUTION SERVICES, L.P.
October 20, 1994 - November 7, 1996
NATCITY INSURANCE SERVICES, INC.
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
Series 7TO
Date: 12/20/2022
General Securities Representative ExaminationCurrent 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.
