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JB

John H. Bloom

Some features on this profile are disabled
CRD#: 4339151
JB

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.

John Henry Bloom, who also goes by John Henry Bloom III, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2001. John had worked at 8 firms and has passed the Series 63, Series 65, Series 66, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Henry Bloom Iii

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 14, 2015 - August 18, 2017

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
ANNAPOLIS, MD
Past

July 5, 2011 - September 11, 2012

WADDELL & REED

RIA
CRD#: 866
VIRGINIA BEACH, VA
Past

March 28, 2011 - September 11, 2012

WADDELL & REED

BD
CRD#: 866
VIRGINIA BEACH, VA
Past

May 9, 2008 - March 17, 2009

NEW ENGLAND SECURITIES

BD
CRD#: 615
CHARLOTTE, NC
Past

January 6, 2005 - May 17, 2005

R.M. STARK & CO., INC.

BD
CRD#: 7612
LAKE WORTH BEACH, FL
Past

December 10, 2003 - January 6, 2005

EQUITY SERVICES, INC.

RIA
CRD#: 265
CHARLOTTE, NC
Past

December 5, 2003 - January 6, 2005

EQUITY SERVICES, INC.

BD
CRD#: 265
MONTPELIER, VT
Past

October 21, 2003 - November 5, 2003

VERAVEST INVESTMENTS, INC.

BD
CRD#: 3960
WORCESTER, MA
Past

April 30, 2002 - October 1, 2002

MOORS & CABOT, INC.

BD
CRD#: 594
BOSTON, MA
Past

April 1, 2002 - June 7, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHARLOTTE, NC
Past

March 29, 2001 - June 7, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NS
NATIONWIDE SECURITIES, LLC
NATIONWIDE ADVISORY SERVICES, INC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, LLC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, INC. | NATIONWIDE SECURITIES, LLC | NATIONWIDE SECURITIES, INC. | NATIONWIDE ADVISORY SERVICES, INC.

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA
Registered Investment Advisory firm - SEC (7/9/2008 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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: 11/11/2011
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/1/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 6/23/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/18/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/14/2015
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 5/8/2008
General Securities Representative Examination

Current Firm

NS
NATIONWIDE SECURITIES, LLC
NATIONWIDE ADVISORY SERVICES, INC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, LLC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, INC. | NATIONWIDE SECURITIES, LLC | NATIONWIDE SECURITIES, INC. | NATIONWIDE ADVISORY SERVICES, INC.

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA
Registered Investment Advisory firm - SEC (7/9/2008 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Nationwide Plaza Mailing Code: 01-17-402, Columbus, OH 43215
Mailing Address
One Nationwide Plaza 1-33-401, Columbus, OH 43215
Phone number
(888) 753-7364
Established
Delaware since 10/09/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
24

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

NSLLC FORM ADV PART 2A BROCHURE (7/8/2025)

Direct owners and executive officers

NamePositionCRD#
NFS DISTRIBUTORS, INC.MANAGING MEMBER
FLAGLER, TAMMARA E.PRESIDENT5652398
GINNAN, STEVEN A.BOARD MANAGER6984613
JESTICE, KEVIN THOMASBOARD MANAGER5363377
ROSWELL, EWAN THEODOREAVP, FINANCE CONTROLLERSHIP-NF AND FINOP3056545
SEVERSON, JAMES RICHARDCHIEF COMPLIANCE OFFICER4347559

Disclosures

Regulatory Event10
Arbitration3

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.

Company Information

NATIONWIDE SECURITIES, LLC

CRD#: 11173

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