Brian Stone
Professional summary
Brian Stone, who also goes by Brian Eric Stone, is a registered financial professional currently at NATIONWIDE INVESTMENT SERVICES CORPORATION located in Palm Harbor, Florida.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1996. Brian has worked at 11 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 52 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Stone's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 17, 2023 - Present
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 10, 2022 - February 15, 2023
COREBRIDGE CAPITAL SERVICES, INC.
December 1, 2020 - January 11, 2022
ALLIANZ LIFE FINANCIAL SERVICES, LLC
December 14, 2018 - September 10, 2019
FREEDOM INVESTMENT MANAGEMENT, INC.
December 13, 2018 - January 18, 2019
EQIS SECURITIES, LLC
April 8, 2003 - April 4, 2017
PACIFIC SELECT DISTRIBUTORS, LLC
May 16, 2002 - March 27, 2003
TRANSAMERICA CAPITAL, LLC
July 14, 2000 - September 5, 2000
ING FUNDS DISTRIBUTOR, INC.
March 30, 2000 - May 13, 2002
DIRECTED SERVICES LLC
December 22, 1998 - February 10, 2000
DWS DISTRIBUTORS, INC.
February 2, 1996 - October 28, 1998
AMERIPRISE ADVISOR 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
(4/14/2025)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 8
Date: 1/22/1997
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current 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
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