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KG

Karen A. Graham

NATIONWIDE INVESTMENT SERVICES
Columbus, OH 43215
Some features on this profile are disabled
CRD#: 2994300
KG

Professional summary

Karen Ann Graham, who also goes by Karen A Carver, Karen A Nicholas, is a registered financial professional currently at NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.

Karen is registered as a RR (Registered Representative) and started their career in finance in 1998. Karen has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Karen A Carver | Karen A Nicholas

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) - BD

Click below to view Karen Ann Graham's 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®
None

Experience

Current

January 27, 2022 - Present

NATIONWIDE INVESTMENT SERVICES CORPORATION

Office #1: One Nationwide Plaza, Columbus, OH 43215
BD
CRD#: 7110
Columbus, OH
Past

October 30, 2013 - January 7, 2022

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

August 21, 2008 - August 14, 2013

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA
CRD#: 15708
BUDA, TX
Past

August 11, 2008 - August 14, 2013

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BUDA, TX
Past

December 20, 2005 - May 29, 2008

FEDERATED INVESTMENT COUNSELING

RIA
CRD#: 105325
PITTSBURGH, PA
Past

May 17, 2005 - May 29, 2008

FEDERATED SECURITIES CORP.

BD
CRD#: 5009
PITTSBURGH, PA
Past

May 26, 1999 - June 6, 2005

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CINCINNATI, OH
Past

January 27, 1998 - May 4, 1999

KEY INVESTMENTS INC.

BD
CRD#: 15873
CLEVELAND, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Louisiana
(1/27/2022)
RR
Texas
(1/27/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/19/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/27/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/26/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NI
NATIONWIDE INVESTMENT SERVICES CORPORATION
NATIONWIDE INVESTMENT ADVISORS, LLC | PEBSCO SECURITIES CORP. | NATIONWIDE RETIREMENT INSTITUTE, A DIVISION OF NISC | NATIONWIDE INVESTMENT SVCS. CORPORATION | NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110 / SEC#: , 8-20254

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Nationwide Plaza 1-33-401, Columbus, OH 43215
Mailing Address
One Nationwide Plaza 1-33-401, Columbus, OH 43215
Phone number
+1 (800) 882-2822
Established
Oklahoma since 03/19/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NATIONWIDE LIFE INSURANCE COMPANYSHAREHOLDER
AMBROZY, TINA SPRESIDENT/BOARD DIRECTOR3149224
HAWLEY, CRAIG ALANBOARD DIRECTOR4499105
RABENSTINE, JAMES JAYCHIEF COMPLIANCE OFFICER2025566
ROSWELL, EWAN THEODOREAVP, FINANCE CONTROLLERSHIP-NF AND FINOP3056545
STEVENSON, ERIC RAYBOARD DIRECTOR5250338

Disclosures

Regulatory Event4
Arbitration1

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.

Company Information

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110Columbus, OH 43215

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