Perry B. Perrin
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.
Perry Braxton Perrin was a registered financial professional .
Perry is a previously registered financial professional and started their career in finance in 2002. Perry had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2016 - December 16, 2016
NATIONWIDE SECURITIES, LLC
September 23, 2014 - April 8, 2016
MORGAN STANLEY
September 23, 2014 - April 8, 2016
MORGAN STANLEY
August 10, 2010 - May 14, 2014
VALIC FINANCIAL ADVISORS, INC.
August 2, 2010 - May 14, 2014
VALIC FINANCIAL ADVISORS, INC.
April 4, 2008 - October 6, 2009
UBS FINANCIAL SERVICES INC.
April 4, 2008 - October 6, 2009
UBS FINANCIAL SERVICES INC.
January 1, 2008 - April 7, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - April 7, 2008
WELLS FARGO CLEARING SERVICES, LLC
April 28, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
February 16, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
February 25, 2002 - January 3, 2006
CONSUMER CONCEPTS INVESTMENTS, INC.
Primary Firm SEC Registration
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
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 SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
Contact information
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.
