Richard P. Corl
Professional summary
Richard Patrick Corl was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Richard had worked at 3 firms, which includes NATIONWIDE FUND DISTRIBUTORS LLC, NATIONWIDE SECURITIES LLC, VANGUARD MARKETING CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2002 - November 10, 2005
NATIONWIDE FUND DISTRIBUTORS LLC
October 3, 2001 - October 29, 2002
NATIONWIDE SECURITIES, LLC
March 16, 2000 - October 1, 2001
NATIONWIDE SECURITIES, LLC
December 3, 1998 - February 29, 2000
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
NATIONWIDE FUND DISTRIBUTORS LLC
CRD#: 25910 / SEC#: , 8-42135
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS INC. | OWNER | |
| BUTSON, HOLLY ANN | CHIEF COMPLIANCE OFFICER | 724115 |
| CUMMINGS, LELAND THOMAS | CHAIRMAN, DIRECTOR & PRESIDENT | 2523271 |
| GINNAN, STEVEN A. | MANAGER | 6984613 |
| HAWLEY, CRAIG ALAN | MANAGER | 4499105 |
| RIMES, STEPHEN RANDOLPH | VP, ASSOCIATE GENERAL COUNSEL AND ASSISTANT SECRETARY | 4138948 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
Disclosures
| Regulatory Event | 1 |
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