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TE

Trisha S. Elliott

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CRD#: 4619967
TE

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.

Trisha Sergio Elliott, who also goes by Trisha Sergio, was a registered financial professional .

Trisha is a previously registered financial professional and started their career in finance in 2003. Trisha had worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Trisha Sergio

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

February 19, 2009 - October 25, 2016

NATIONWIDE FUND DISTRIBUTORS LLC

BD
CRD#: 25910
KING OF PRUSSIA, PA
Past

January 23, 2003 - October 21, 2008

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA

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: 1/30/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/25/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/22/2003
Investment Company Products/Variable Contracts Representative Examination

Current Firm

NF
NATIONWIDE FUND DISTRIBUTORS LLC
ALLIED GROUP MERCHANT BANKING CORPORATION | VILLANOVA DISTRIBUTION SERVICES, INC. | NATIONWIDE FUND DISTRIBUTORS LLC | GARTMORE DISTRIBUTION SERVICES, INC.

CRD#: 25910 / SEC#: , 8-42135

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

Main Address
One Nationwide Plaza 1-18-102, Columbus, OH 43215
Mailing Address
One Nationwide Plaza 1-18-102, Columbus, OH 43215
Phone number
(614) 435-6278
Established
Delaware since 04/29/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# 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#
NFS DISTRIBUTORS INC.OWNER
BUTSON, HOLLY ANNCHIEF COMPLIANCE OFFICER724115
CUMMINGS, LELAND THOMASCHAIRMAN, DIRECTOR & PRESIDENT2523271
GINNAN, STEVEN A.MANAGER6984613
HAWLEY, CRAIG ALANMANAGER4499105
RIMES, STEPHEN RANDOLPHVP, ASSOCIATE GENERAL COUNSEL AND ASSISTANT SECRETARY4138948
ROSWELL, EWAN THEODOREAVP, FINANCE CONTROLLERSHIP-NF AND FINOP3056545

Disclosures

Regulatory Event1

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 FUND DISTRIBUTORS LLC

CRD#: 25910

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