Ann M. Raible
Professional summary
Ann Michelle Raible, who also goes by Ann Michelle Johnson, is a registered financial professional currently at NATIONWIDE INVESTMENT SERVICES CORPORATION located in Louisville, Kentucky.
Ann is registered as a RR (Registered Representative) and started their career in finance in 1997. Ann has worked at 6 firms and has passed the Series 66, SIE, Series 62, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ann Michelle Raible's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2019 - Present
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 30, 2007 - January 2, 2019
JEFFERSON NATIONAL SECURITIES CORPORATION
November 30, 2005 - December 20, 2006
CHASE INVESTMENT SERVICES CORP.
August 9, 2001 - May 4, 2005
TEACHERS PERSONAL INVESTORS SERVICES, INC.
May 17, 1999 - July 19, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 2, 1997 - May 20, 1999
AFSG SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/2/2019)
Exams
Series 62
Date: 3/30/2018
Corporate Securities Limited Representative ExaminationFINRA
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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