David E. Willis

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CRD#: 2671066

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.

David Earl Willis, who also goes by David Earl Willis Mr., was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1995. David had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Earl Willis Mr.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 4, 2012 - December 16, 2016

NATIONWIDE SECURITIES, LLC

RIA

CRD#: 11173

MOORESVILLE, NC

Past

November 26, 2012 - December 16, 2016

NATIONWIDE SECURITIES, LLC

CRD#: 11173

MOORESVILLE, NC

Past

July 25, 2011 - October 16, 2012

OSAIC WEALTH, INC.

RIA

CRD#: 23131

CORNELIUS, NC

Past

July 21, 2011 - October 16, 2012

OSAIC WEALTH, INC.

CRD#: 23131

CORNELIUS, NC

Past

March 16, 2011 - August 2, 2011

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

CORNELIUS, NC

Past

January 4, 2011 - August 2, 2011

SECURITIES AMERICA, INC.

CRD#: 10205

CORNELIUS, NC

Past

March 19, 2008 - November 5, 2010

AUGUSTAR DISTRIBUTORS, INC.

CRD#: 41081

CINCINNATI, OH

Past

July 17, 2006 - October 16, 2007

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

NEW YORK CITY, NY

Past

November 29, 2000 - January 12, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

January 6, 2000 - May 2, 2000

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CHARLOTTE, NC

Past

April 2, 1998 - November 12, 1999

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

October 25, 1995 - March 25, 1998

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

BOSTON, MA

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 SECURITIES, LLC

NATIONWIDE ADVISORY SERVICES, INC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, LLC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, INC. | NATIONWIDE SECURITIES, LLC | NATIONWIDE SECURITIES, INC. | NATIONWIDE ADVISORY SERVICES, INC.

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA

Registered Investment Advisory firm - SEC (7/9/2008 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/10/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/8/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/16/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/14/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/24/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NATIONWIDE SECURITIES, LLC

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA

Registered Investment Advisory firm - SEC (7/9/2008 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

One Nationwide Plaza Mailing Code: 01-17-402, Columbus, OH 43215

Mailing Address

One Nationwide Plaza 1-33-401, Columbus, OH 43215

Phone number

(888) 753-7364

Established

Delaware since 10/09/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

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

Direct owners and executive officers

Name	Position	CRD#
NFS DISTRIBUTORS, INC.	MANAGING MEMBER
FLAGLER, TAMMARA E.	PRESIDENT	5652398
GINNAN, STEVEN A.	BOARD MANAGER	6984613
JESTICE, KEVIN THOMAS	BOARD MANAGER	5363377
ROSWELL, EWAN THEODORE	AVP, FINANCE CONTROLLERSHIP-NF AND FINOP	3056545
SEVERSON, JAMES RICHARD	CHIEF COMPLIANCE OFFICER	4347559

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.

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Firm Stability Insights

David E. Willis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NATIONWIDE SECURITIES, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

AUGUSTAR DISTRIBUTORS, INC.

METLIFE INVESTORS DISTRIBUTION COMPANY

WELLS FARGO CLEARING SERVICES, LLC

BB&T INVESTMENT SERVICES, INC.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

SIGNATOR FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

NATIONWIDE SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/10/2011

Series 63

Date: 11/8/1995

SIE

Date: 12/16/2016

Series 7

Date: 3/14/2000

Series 6

Date: 10/24/1995

Current Firm

NATIONWIDE SECURITIES, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NATIONWIDE SECURITIES, LLC

TRUST BUT VERIFY

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