Stephen J. Sarago
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.
Stephen James Sarago, who also goes by Steve J Sarago, Steve Sarago, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1997. Stephen had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2012 - October 17, 2018
NATIONWIDE SECURITIES, LLC
September 20, 2012 - October 17, 2018
NATIONWIDE SECURITIES, LLC
February 1, 2010 - November 16, 2010
PRIVATE CLIENT SERVICES, LLC
June 2, 2009 - November 16, 2010
PRIVATE CLIENT SERVICES, LLC
April 7, 2009 - December 31, 2009
WOODBURY FINANCIAL SERVICES, INC.
April 7, 2009 - December 31, 2009
WOODBURY FINANCIAL SERVICES, INC.
January 16, 2008 - March 30, 2009
WADDELL & REED
January 15, 2008 - March 30, 2009
WADDELL & REED
October 18, 2007 - January 10, 2008
SIGNATOR FINANCIAL SERVICES, INC.
March 1, 2006 - January 10, 2008
SIGNATOR FINANCIAL SERVICES, INC.
April 1, 2004 - November 2, 2005
FSC SECURITIES CORPORATION
August 5, 2003 - November 25, 2003
NICOL INVESTORS CORPORATION
January 8, 2001 - July 3, 2003
OSAIC FS, INC.
November 19, 1997 - January 4, 2001
STATE FARM VP MANAGEMENT CORP.
Primary Firm SEC Registration
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS, INC. | MANAGING MEMBER | |
| ANIANO, JOSEPH NICHOLAS | PRESIDENT | 4303290 |
| GINNAN, STEVEN A. | BOARD MANAGER | 6984613 |
| JESTICE, KEVIN THOMAS | BOARD MANAGER | 5363377 |
| RABENSTINE, JAMES JAY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD MANAGER | 5250338 |
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.
