Steven A. Morris

NATIONWIDE INVESTMENT SERVICES

Columbus, OH 43215

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CRD#: 4170218

Professional summary

Steven Allen Morris is a registered financial professional currently at NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2000. Steven has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Steven Allen Morris'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

March 17, 2017 - Present

NATIONWIDE INVESTMENT SERVICES CORPORATION

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

CRD#: 7110

Columbus, OH

Past

December 26, 2013 - March 27, 2017

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

ST PETERSBURG, FL

Past

February 2, 2010 - January 9, 2012

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

ALISO VIEJO, CA

Past

January 9, 2007 - January 27, 2010

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

ALISO VIEJO, CA

Past

August 3, 2006 - January 18, 2007

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

NEWPORT BEACH, CA

Past

May 17, 2000 - May 1, 2006

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

State Registrations and Notice Filings

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

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

Alaska
(1/18/2018)

California
(2/5/2021)

Colorado
(1/18/2018)

Idaho
(1/18/2018)

Montana
(1/18/2018)

Oregon
(3/17/2017)

Utah
(1/18/2018)

Washington
(3/17/2017)

Wyoming
(1/18/2018)

Exams

State Security Law Exam

Series 63

Date: 1/17/2005

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: 5/16/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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

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)

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

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

Steven A. Morris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Allen Morris's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, LLC

PACIFIC SELECT DISTRIBUTORS, LLC

PACIFIC SELECT DISTRIBUTORS, LLC

WOODBURY FINANCIAL SERVICES, INC.

PACIFIC SELECT DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/17/2005

SIE

Date: 10/1/2018

Series 6

Date: 5/16/2000

FINRA

Current Firm

NATIONWIDE INVESTMENT SERVICES CORPORATION

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NATIONWIDE INVESTMENT SERVICES CORPORATION

TRUST BUT VERIFY

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