Erwin L. Staples

NATIONWIDE INVESTMENT ADVISORS

COLUMBUS, OH 43215

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CRD#: 3041976

Professional summary

Erwin Lynn Staples, who also goes by Erwin L Staples, is a registered financial advisor currently at NATIONWIDE INVESTMENT ADVISORS, LLC located in Columbus, Ohio and NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.

Erwin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Erwin has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Erwin L Staples

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 Erwin Lynn Staples'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®

None

Experience

Current

November 19, 2018 - Present

NATIONWIDE INVESTMENT ADVISORS, LLC

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

RIA

CRD#: 142373

COLUMBUS, OH

Current

November 16, 2018 - Present

NATIONWIDE INVESTMENT SERVICES CORPORATION

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

CRD#: 7110

Columbus, OH

Past

November 16, 2018 - November 16, 2018

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA

CRD#: 142373

COLUMBUS, OH

Past

June 16, 2016 - October 30, 2018

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

HOMEWOOD, IL

Past

June 13, 2016 - October 30, 2018

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

HOMEWOOD, IL

Past

February 25, 2011 - May 23, 2016

MISSIONSQUARE INVESTMENT SERVICES

CRD#: 23189

WASHINGTON, DC

Past

February 22, 2011 - May 23, 2016

MISSIONSQUARE RETIREMENT

RIA

CRD#: 108783

HAZEL CREST, IL

Past

June 29, 2009 - November 5, 2009

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

TINLEY PARK, IL

Past

June 17, 2008 - November 5, 2009

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

TINLEY PARK, IL

Past

March 4, 2005 - July 2, 2007

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

HAZEL CREST, IL

Past

January 27, 2005 - July 2, 2007

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

HAZEL CREST, IL

Past

June 25, 2003 - January 25, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

OAK LAWN , IL

Past

June 25, 2003 - January 25, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

April 18, 2000 - July 1, 2003

WADDELL & REED

RIA

CRD#: 866

EVERGREEN PARK, IL

Past

February 7, 2000 - July 1, 2003

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

February 1, 1999 - January 21, 2000

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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

Illinois
(11/19/2018)

IAR

Ohio
(9/19/2023)

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: 2/26/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/2/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/30/1999

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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Firm Stability Insights

Erwin L. Staples

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erwin Lynn Staples's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE INVESTMENT SERVICES CORPORATION

NATIONWIDE INVESTMENT ADVISORS, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

MISSIONSQUARE INVESTMENT SERVICES

MISSIONSQUARE RETIREMENT

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

WADDELL & REED

WADDELL & REED

PFS INVESTMENTS INC.

Primary Firm SEC Registration

NATIONWIDE INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/26/2000

Series 63

Date: 2/2/1999

SIE

Date: 10/1/2018

Series 6

Date: 1/30/1999

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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