Darren J. Lopes

NATIONWIDE INVESTMENT ADVISORS

COLUMBUS, OH 43215

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CRD#: 2551938

Professional summary

Darren James Lopes SR, who also goes by Darren James Lopes Sr, is a registered financial advisor currently at NATIONWIDE INVESTMENT ADVISORS, LLC located in Columbus, Ohio and NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.

Darren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Darren has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Darren James Lopes Sr

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) - RIA

Click below to view Darren James Lopes SR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

May 6, 2025 - Present

NATIONWIDE INVESTMENT ADVISORS, LLC

Office #1: One Nationwide Plaza 03-07-202, Columbus, OH 43215

RIA

CRD#: 142373

COLUMBUS, OH

Current

January 14, 2025 - Present

NATIONWIDE INVESTMENT SERVICES CORPORATION

Office #1: One Nationwide Plaza, Columbus, OH 43215

CRD#: 7110

Columbus, OH

Past

September 7, 2011 - April 4, 2023

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

PROVIDENCE, RI

Past

January 1, 2008 - July 8, 2011

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

BOSTON, MA

Past

April 27, 2007 - January 1, 2008

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

MARLBOROUGH, MA

Past

January 4, 2007 - January 29, 2007

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

PROVIDENCE, RI

Past

April 9, 2004 - December 31, 2004

CANTELLA & CO., INC.

CRD#: 13905

MALDEN, MA

Past

May 9, 2001 - April 25, 2002

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

BOSTON, MA

Past

August 4, 2000 - May 9, 2001

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

February 20, 1998 - February 3, 2000

FIS SECURITIES, INC.

CRD#: 30533

BOSTON, MA

Past

December 22, 1994 - March 29, 1996

FLEET SECURITIES INC.

CRD#: 7147

NEW YORK, NY

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".

NATIONWIDE INVESTMENT ADVISORS, LLC

CRD#: 142373 / SEC#: 801-52664

RIA

Registered Investment Advisory firm - (8/30/1996 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Ohio
(5/6/2025)

Rhode Island
(1/14/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/3/2025

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/17/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/11/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/6/2017

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 7/19/2016

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

NATIONWIDE INVESTMENT ADVISORS, LLC

CRD#: 142373 / SEC#: 801-52664

RIA

Registered Investment Advisory firm - (8/30/1996 Approved)

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Contact information

Main Address

One Nationwide Plaza 03-07-202, Columbus, OH 43215

Mailing Address

Phone number

(614) 435-8371

Established

Firm type

Fiscal year end

# of Employees

417

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

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

Regulatory assets under management

Total Number of Accounts	270,365
AUM (Assets Under Management)	$ 15,686,000,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/25/2024	Cover Page	Report
01/26/2024	Cover Page	Report
10/26/2022	Cover Page	Report

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.

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Darren J. Lopes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darren James Lopes SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE INVESTMENT SERVICES CORPORATION

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

COMMONWEALTH FINANCIAL NETWORK

CANTELLA & CO., INC.

NATIONAL FINANCIAL SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

FIS SECURITIES, INC.

FLEET SECURITIES INC.

Primary Firm SEC Registration

NATIONWIDE INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/3/2025

Series 65

Date: 2/17/1998

Series 63

Date: 1/11/1995

SIE

Date: 10/1/2018

Series 7

Date: 12/21/1994

Series 24

Date: 5/6/2017

Series 26

Date: 7/19/2016

FINRA

Current Firm

NATIONWIDE INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NATIONWIDE INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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