KB
Kurt T. Bailey
NATIONWIDE SECURITIES
Grandview Heights, OH 43212
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CRD#: 4419198
KB
Professional summary
Kurt Thomas Bailey is a registered financial professional currently at NATIONWIDE SECURITIES, LLC located in Grandview Heights, Ohio.
Kurt is registered as a RR (Registered Representative) and started their career in finance in 2001. Kurt has worked at 8 firms and has passed the Series 63, SIE, Series 6 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.
CRS (Client Relationship Summary) - BD
Click below to view Kurt Thomas Bailey'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®
NoneExperience
Current
May 15, 2018 - Present
NATIONWIDE SECURITIES, LLC
Office #1: 1000 Yard Street H Building, Grandview Heights, OH 43212RIA
BD
CRD#: 11173
Grandview Heights, OH
Past
November 10, 2017 - May 16, 2018
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
GRANDVIEW HEIGHTS, OH
Past
February 12, 2015 - September 3, 2015
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
GROVE CITY, OH
Past
October 19, 2012 - March 4, 2013
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
DUBLIN, OH
Past
October 10, 2012 - March 4, 2013
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
DUBLIN, OH
Past
August 17, 2010 - August 2, 2011
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
HUNTSVILLE, OH
Past
February 1, 2007 - December 31, 2008
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
COLUMBUS, OH
Past
February 14, 2006 - December 4, 2006
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
COLUMBUS, OH
Past
January 31, 2002 - December 9, 2005
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
August 3, 2001 - September 19, 2001
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
CINCINNATI, OH
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.
RR
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
RR
Alabama(5/23/2018)
RR
Alaska(5/23/2018)
RR
Arizona(5/23/2018)
RR
Arkansas(5/24/2018)
RR
California(5/23/2018)
RR
Colorado(5/15/2018)
RR
Connecticut(5/15/2018)
RR
Delaware(5/30/2018)
RR
District of Columbia(5/17/2018)
RR
Florida(5/16/2018)
RR
Georgia(5/24/2018)
RR
Hawaii(5/24/2018)
RR
Idaho(5/23/2018)
RR
Illinois(5/15/2018)
RR
Indiana(5/25/2018)
RR
Iowa(5/23/2018)
RR
Kansas(6/6/2018)
RR
Kentucky(5/25/2018)
RR
Louisiana(5/16/2018)
RR
Maine(5/16/2018)
RR
Maryland(5/16/2018)
RR
Massachusetts(5/24/2018)
RR
Michigan(5/25/2018)
RR
Minnesota(6/3/2018)
RR
Mississippi(5/24/2018)
RR
Missouri(5/24/2018)
RR
Montana(5/23/2018)
RR
Nebraska(6/28/2018)
RR
Nevada(5/31/2018)
RR
New Hampshire(5/23/2018)
RR
New Jersey(8/23/2018)
RR
New Mexico(5/24/2018)
RR
New York(5/24/2018)
RR
North Carolina(5/23/2018)
RR
North Dakota(5/23/2018)
RR
Ohio(5/15/2018)
RR
Oklahoma(5/24/2018)
RR
Oregon(5/24/2018)
RR
Pennsylvania(5/24/2018)
RR
Rhode Island(5/30/2018)
RR
South Carolina(5/29/2018)
RR
South Dakota(5/23/2018)
RR
Tennessee(5/24/2018)
RR
Texas(6/5/2018)
RR
Utah(5/23/2018)
RR
Vermont(5/29/2018)
RR
Virginia(5/23/2018)
RR
Washington(5/23/2018)
RR
West Virginia(6/8/2018)
RR
Wisconsin(5/25/2018)
RR
Wyoming(5/23/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS, INC. | MANAGING MEMBER | |
| ANIANO, JOSEPH NICHOLAS | PRESIDENT | 4303290 |
| GINNAN, STEVEN A. | BOARD MANAGER | 6984613 |
| JESTICE, KEVIN THOMAS | BOARD MANAGER | 5363377 |
| RABENSTINE, JAMES JAY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD MANAGER | 5250338 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
