Lynn S. Beal
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.
Lynn Sautter Beal, who also goes by Lynn Renee Sautter, Lynn Renee Sauter, Lynn Sautter-beal, Lynn R Young, Lynn Renee Young, was a registered financial professional .
Lynn is a previously registered financial professional and started their career in finance in 2001. Lynn had worked at 7 firms and has passed the Series 63, SIE, Series 6 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
February 5, 2016 - February 22, 2017
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 19, 2006 - October 2, 2008
CITIGROUP GLOBAL MARKETS INC.
July 26, 2006 - October 2, 2008
CITIGROUP GLOBAL MARKETS INC.
December 17, 2003 - July 24, 2006
MEEDER DISTRIBUTION SERVICES, INC.
July 18, 2003 - December 4, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 18, 2003 - December 4, 2003
OSAIC FA, INC.
August 19, 2002 - June 20, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 27, 2001 - August 13, 2002
NEW ENGLAND SECURITIES
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 SERVICES CORPORATION
CRD#: 7110 / SEC#: , 8-20254
Contact information
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.
