Alison L. Scharlott
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.
Alison Lynn Scharlott, who also goes by Alison Lynn Moore, Alison Lynn Parker Moore, Alison Lynn Parker, was a registered financial professional .
Alison is a previously registered financial professional and started their career in finance in 2002. Alison had worked at 6 firms and has passed the Series 65, 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
November 24, 2010 - February 21, 2024
NATIONWIDE INVESTMENT SERVICES CORPORATION
December 20, 2005 - May 14, 2007
NATIONWIDE INVESTMENT SERVICES CORPORATION
June 1, 2005 - November 29, 2005
JPMORGAN ASSET MANAGEMENT
September 24, 2004 - November 29, 2005
JPMORGAN DISTRIBUTION SERVICES, INC.
April 30, 2003 - October 8, 2004
BANC ONE SECURITIES CORPORATION
October 1, 2002 - March 3, 2003
AMSOUTH INVESTMENT SERVICES, INC.
January 4, 2002 - September 20, 2002
VALIC FINANCIAL ADVISORS, INC.
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.
