Allen W. Spain

NATIONWIDE INVESTMENT ADVISORS

COLUMBUS, OH 43215

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CRD#: 2933874

Professional summary

Allen Warren Spain, CFP®, who also goes by Allen Spain, Allen Warren Spain, is a registered financial advisor currently at NATIONWIDE INVESTMENT ADVISORS, LLC located in Columbus, Ohio and NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.

Allen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Allen has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Allen Spain | Allen Warren Spain

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) - RIA

Click below to view Allen Warren Spain'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®

CFP^®

Certified Financial Planner

Experience

Current

April 27, 2023 - Present

NATIONWIDE INVESTMENT ADVISORS, LLC

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

RIA

CRD#: 142373

COLUMBUS, OH

Current

April 26, 2023 - Present

NATIONWIDE INVESTMENT SERVICES CORPORATION

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

CRD#: 7110

Columbus, OH

Past

September 13, 2022 - January 6, 2023

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

Nashville, TN

Past

July 26, 2018 - April 14, 2022

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

DENVER, CO

Past

February 22, 2018 - July 19, 2018

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

BATON ROUGE, LA

Past

February 22, 2018 - July 19, 2018

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

BATON ROUGE, LA

Past

July 25, 2014 - November 2, 2016

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

SAN MATEO, CA

Past

October 3, 2013 - July 16, 2014

AUGUSTAR DISTRIBUTORS, INC.

CRD#: 41081

CINCINNATI, OH

Past

May 14, 2013 - June 28, 2013

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

COVINGTON, LA

Past

May 14, 2013 - June 28, 2013

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

COVINGTON, LA

Past

October 16, 2006 - January 2, 2013

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

March 15, 2006 - September 25, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MANDEVILLE, LA

Past

January 24, 2006 - September 25, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MANDEVILLE, LA

Past

May 27, 2005 - January 25, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

October 13, 2004 - May 16, 2005

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

June 14, 2004 - October 13, 2004

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

July 31, 2003 - June 9, 2004

ALLIANZ LIFE FINANCIAL SERVICES, LLC

CRD#: 612

MINNEAPOLIS, MN

Past

July 11, 2003 - July 15, 2003

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

February 6, 2002 - January 10, 2003

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

BOSTON, MA

Past

July 10, 2000 - December 18, 2001

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

October 30, 1997 - December 31, 1999

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

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

Ohio
(4/26/2023)

IAR

Ohio
(4/27/2023)

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: 3/14/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/16/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/14/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/27/1997

Investment Company Products/Variable Contracts 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

Allen W. Spain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allen Warren Spain's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE INVESTMENT SERVICES CORPORATION

ALLIANCEBERNSTEIN INVESTMENTS, INC.

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

FRANKLIN DISTRIBUTORS, LLC

AUGUSTAR DISTRIBUTORS, INC.

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

USALLIANZ SECURITIES, INC.

INVESTACORP, INC.

USALLIANZ SECURITIES, INC.

ALLIANZ LIFE FINANCIAL SERVICES, LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

SIGNATOR FINANCIAL SERVICES, INC.

CAPITAL BROKERAGE CORPORATION

LOCUST STREET SECURITIES, INC.

Primary Firm SEC Registration

NATIONWIDE INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/14/2006

Series 63

Date: 10/16/1997

SIE

Date: 10/1/2018

Series 7

Date: 2/14/2006

Series 6

Date: 10/27/1997

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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