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Samuel S. Brown

NATIONWIDE INVESTMENT SERVICES
Columbus, OH 43215
Some features on this profile are disabled
CRD#: 4189977
SB

Professional summary

Samuel Stephen Brown is a registered financial professional currently at NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 2000. Samuel has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

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 Samuel Stephen Brown'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 5, 2003 - Present

NATIONWIDE INVESTMENT SERVICES CORPORATION

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

June 22, 2000 - September 18, 2001

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/5/2000
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: 6/21/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/27/2017
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/13/2006
Investment Company Products/Variable Contracts Principal 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)

Documents

Direct owners and executive officers

NamePositionCRD#
NATIONWIDE LIFE INSURANCE COMPANYSHAREHOLDER
DELEGET, JERROLD BRIANCHIEF COMPLIANCE OFFICER4364224
JESTICE, KEVIN THOMASBOARD DIRECTOR5363377
KOTECHA, KUSH VIJAYBOARD DIRECTOR8178085
PEREZ, JUAN JOSE QUEVERPRESIDENT/BOARD DIRECTOR6387381
ROSWELL, EWAN THEODOREAVP, FINANCE CONTROLLERSHIP-NF AND FINOP3056545

Disclosures

Regulatory Event4
Arbitration1

Red Flags

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Company Information

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110Columbus, OH 43215

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