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KA

Kara B. Ashley

NATIONWIDE INVESTMENT SERVICES
Scottsdale, AZ 85255
Some features on this profile are disabled
CRD#: 4610668
KA

Professional summary

Kara Beth Ashley, who also goes by Kara Beth Althoff, Kara Beth Booker, is a registered financial professional currently at NATIONWIDE INVESTMENT SERVICES CORPORATION located in Scottsdale, Arizona.

Kara is registered as a RR (Registered Representative) and started their career in finance in 2004. Kara has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kara Beth Althoff | Kara Beth Booker

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) - BD

Click below to view Kara Beth Ashley'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®
None

Experience

Current

May 30, 2023 - Present

NATIONWIDE INVESTMENT SERVICES CORPORATION

Office #1: 18700 North Hayden Rd, Scottsdale, AZ 85255
BD
CRD#: 7110
Scottsdale, AZ
Past

December 20, 2007 - April 21, 2023

PACIFIC SELECT DISTRIBUTORS, LLC

BD
CRD#: 4452
OMAHA, NE
Past

April 22, 2006 - May 23, 2006

TD AMERITRADE, INC.

BD
CRD#: 7870
BELLEVUE, NE
Past

April 9, 2004 - April 22, 2006

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
BELLEVUE, NE

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
Arizona
(9/17/2024)
RR
California
(5/30/2023)
RR
Hawaii
(5/30/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 4/15/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/8/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NI
NATIONWIDE INVESTMENT SERVICES CORPORATION
NATIONWIDE INVESTMENT ADVISORS, LLC | PEBSCO SECURITIES CORP. | NATIONWIDE RETIREMENT INSTITUTE, A DIVISION OF NISC | NATIONWIDE INVESTMENT SVCS. CORPORATION | NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110 / SEC#: , 8-20254

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Nationwide Plaza 1-33-401, Columbus, OH 43215
Mailing Address
One Nationwide Plaza 1-33-401, Columbus, OH 43215
Phone number
+1 (800) 882-2822
Established
Oklahoma since 03/19/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
NATIONWIDE LIFE INSURANCE COMPANYSHAREHOLDER
AMBROZY, TINA SPRESIDENT/BOARD DIRECTOR3149224
HAWLEY, CRAIG ALANBOARD DIRECTOR4499105
RABENSTINE, JAMES JAYCHIEF COMPLIANCE OFFICER2025566
ROSWELL, EWAN THEODOREAVP, FINANCE CONTROLLERSHIP-NF AND FINOP3056545
STEVENSON, ERIC RAYBOARD DIRECTOR5250338

Disclosures

Regulatory Event4
Arbitration1

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 INVESTMENT SERVICES CORPORATION

CRD#: 7110Scottsdale, AZ 85255

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