Mark A. Reed
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.
Mark Alan Reed, who also goes by Mark Reed, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1994. Mark had worked at 10 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2013 - December 31, 2013
NATIONWIDE SECURITIES, LLC
October 23, 2012 - December 31, 2013
NATIONWIDE SECURITIES, LLC
October 8, 2010 - September 8, 2011
ALLSTATE FINANCIAL ADVISORS, LLC
September 2, 2010 - August 26, 2011
ALLSTATE FINANCIAL SERVICES, LLC
June 14, 2007 - January 8, 2009
TGS FINANCIAL ADVISORS
February 6, 2007 - June 19, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 25, 2007 - July 2, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 7, 2006 - October 30, 2006
CINCINNATI ANALYSTS, INC.
January 4, 2006 - October 30, 2006
CINCINNATI ANALYSTS, INC.
November 24, 2004 - December 31, 2005
VOYA FINANCIAL ADVISORS, INC.
July 1, 2004 - December 31, 2005
VOYA FINANCIAL ADVISORS, INC.
March 4, 2003 - January 2, 2004
ALLSTATE FINANCIAL SERVICES, LLC
August 31, 2000 - November 21, 2002
MORGAN STANLEY DW INC.
August 10, 2000 - November 21, 2002
MORGAN STANLEY DW INC.
September 3, 1999 - August 1, 2000
SUMMIT FINANCIAL SERVICES GROUP, INC.
September 15, 1994 - September 2, 1999
RAYMOND JAMES & ASSOCIATES, INC.
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.
