Joseph R. Rossi

NATIONWIDE INVESTMENT ADVISORS

COLUMBUS, OH 43215

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CRD#: 2645740

Professional summary

Joseph Robert Rossi, who also goes by Joe Rossi, Joseph Robert Rossi, Joseph Rossi, is a registered financial advisor currently at NATIONWIDE INVESTMENT ADVISORS, LLC located in Columbus, Ohio and NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Joseph has worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Rossi | Joseph Robert Rossi | Joseph Rossi

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Robert Rossi'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

April 3, 2024 - Present

NATIONWIDE INVESTMENT ADVISORS, LLC

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

RIA

CRD#: 142373

COLUMBUS, OH

Current

April 3, 2024 - Present

NATIONWIDE INVESTMENT SERVICES CORPORATION

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

CRD#: 7110

Columbus, OH

Past

November 14, 2018 - November 8, 2023

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Lone Tree, CO

Past

November 14, 2018 - November 8, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Lone Tree, CO

Past

June 24, 2015 - January 12, 2017

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

DENVER, CO

Past

June 24, 2015 - January 12, 2017

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DENVER, CO

Past

May 30, 2013 - January 15, 2015

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

DENVER, CO

Past

July 12, 2012 - January 15, 2015

SECURITIES AMERICA, INC.

CRD#: 10205

ST LOUIS, MO

Past

December 15, 2009 - April 10, 2012

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

GREENWOOD VILLAGE, CO

Past

June 6, 2007 - December 15, 2008

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

Past

January 8, 2007 - May 30, 2007

ZIONS CAPITAL ADVISORS, INC.

RIA

CRD#: 131308

SALT LAKE CITY, UT

Past

September 7, 2006 - December 31, 2006

ZIONS DIRECT, INC.

RIA

CRD#: 17776

GREENWOOD VILLAGE, CO

Past

September 7, 2006 - May 30, 2007

ZIONS DIRECT, INC.

CRD#: 17776

GREENWOOD VILLAGE, CO

Past

October 25, 2005 - September 12, 2006

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

LITTLETON, CO

Past

October 25, 2005 - September 12, 2006

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

LITTLETON, CO

Past

August 12, 2004 - August 8, 2005

FIRST HORIZON ADVISORS, INC.

RIA

CRD#: 17117

ENGLEWOOD, CO

Past

August 3, 2004 - August 8, 2005

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

MEMPHIS, TN

Past

December 4, 2003 - June 23, 2004

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

HOUSTON, TX

Past

December 4, 2003 - June 23, 2004

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

April 10, 2002 - December 10, 2003

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

DALLAS, TX

Past

March 1, 2002 - December 10, 2003

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

June 20, 1996 - December 10, 2001

QUICK & REILLY, INC.

CRD#: 11217

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

Colorado
(4/3/2024)

IAR

Ohio
(4/3/2024)

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 65

Date: 9/6/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/28/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/12/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/19/1996

General Securities Representative 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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Advisor Monitoring

Firm Stability Insights

Joseph R. Rossi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Robert Rossi's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE INVESTMENT SERVICES CORPORATION

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

GLOBAL ATLANTIC DISTRIBUTORS, LLC

ZIONS CAPITAL ADVISORS, INC.

ZIONS DIRECT, INC.

ZIONS DIRECT, INC.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

FIRST HORIZON ADVISORS, INC.

FIRST HORIZON ADVISORS, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

QUICK & REILLY, INC.

Primary Firm SEC Registration

NATIONWIDE INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/6/2012

Series 63

Date: 6/28/1996

SIE

Date: 1/12/2017

Series 7

Date: 6/19/1996

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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