Katja M. Wees
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Katja Marie Wees, who also goes by Katja Marie Stringfield, was a registered financial professional .
Katja is a previously registered financial professional and started their career in finance in 2000. Katja had worked at 10 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2013 - October 9, 2025
NATIONWIDE INVESTMENT ADVISORS, LLC
September 12, 2013 - October 9, 2025
NATIONWIDE INVESTMENT SERVICES CORPORATION
April 6, 2010 - January 3, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 5, 2010 - January 3, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 30, 2009 - June 18, 2009
DENSMORE FINANCIAL GROUP, INC.
January 3, 2007 - March 31, 2008
SAWTOOTH SECURITIES, LLC
January 3, 2007 - March 31, 2008
SAWTOOTH SECURITIES, LLC
February 20, 2004 - January 3, 2007
OSAIC FA, INC.
February 20, 2004 - May 31, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 20, 2004 - January 3, 2007
OSAIC FA, INC.
January 2, 2003 - February 25, 2004
MORGAN STANLEY DW INC.
September 13, 2002 - February 25, 2004
MORGAN STANLEY DW INC.
December 17, 2001 - March 19, 2002
NYLIFE SECURITIES LLC
October 5, 2000 - December 1, 2000
WEDBUSH SECURITIES INC.
Primary Firm SEC Registration
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
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
Current Firm
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
Contact information
SEC notice filing (52 States and Territories)
Documents
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 | ||
| 01/26/2024 | ||
| 10/26/2022 |
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.
