Joseph Kuo
Professional summary
Joseph Kuo is a registered financial professional currently at NATIONWIDE INVESTMENT SERVICES CORPORATION located in Houston, Texas.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1997. Joseph has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Kuo's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 1, 2023 - Present
NATIONWIDE INVESTMENT SERVICES CORPORATION
October 3, 2013 - January 31, 2018
COREBRIDGE CAPITAL SERVICES, INC.
November 3, 2011 - March 6, 2013
MSI FINANCIAL SERVICES, INC.
January 16, 2002 - July 18, 2011
NYLIFE SECURITIES LLC
October 27, 2000 - May 16, 2001
AMERICAN GENERAL SECURITIES INCORPORATED
March 10, 2000 - October 30, 2000
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
March 20, 1998 - September 1, 1998
SALOMON BROTHERS INC.
March 20, 1998 - April 8, 1999
CITIGROUP GLOBAL MARKETS INC.
September 30, 1997 - February 14, 1998
MERCER ALLIED COMPANY, L.P.
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
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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