DE
Douglas A. Ewing
NATIONWIDE INVESTMENT ADVISORS
COLUMBUS, OH 43215
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CRD#: 4644734
DE
Professional summary
Douglas Alexander Ewing, CFP® is a registered financial advisor currently at NATIONWIDE INVESTMENT ADVISORS, LLC located in Columbus, Ohio and NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Douglas has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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) - RIA
Click below to view Douglas Alexander Ewing'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®
Experience
Current
June 3, 2019 - Present
NATIONWIDE INVESTMENT ADVISORS, LLC
Office #1: One Nationwide Plaza 03-07-202, Columbus, OH 43215RIA
CRD#: 142373
COLUMBUS, OH
Current
June 3, 2019 - Present
NATIONWIDE INVESTMENT SERVICES CORPORATION
Office #1: One Nationwide Plaza, Columbus, OH 43215BD
CRD#: 7110
Columbus, OH
Past
February 2, 2012 - May 29, 2019
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
December 18, 2008 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
RIA
CRD#: 105790
BOSTON, MA
Past
July 10, 2007 - December 9, 2011
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
March 18, 2005 - June 13, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOSTON, MA
Past
March 18, 2005 - June 13, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOSTON, MA
Past
May 7, 2003 - March 24, 2005
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
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".
NI
NATIONWIDE INVESTMENT ADVISORS, LLC
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
RIA
Registered Investment Advisory firm - (8/30/1996 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(6/3/2019)
RR
Alaska(6/3/2019)
RR
Arizona(6/3/2019)
RR
Arkansas(6/3/2019)
RR
California(6/3/2019)
RR
Colorado(6/3/2019)
RR
Connecticut(6/3/2019)
RR
Delaware(6/3/2019)
RR
District of Columbia(6/3/2019)
RR
Florida(6/3/2019)
RR
Georgia(6/3/2019)
RR
Hawaii(6/3/2019)
RR
Idaho(6/3/2019)
RR
Illinois(6/3/2019)
RR
Indiana(6/3/2019)
RR
Iowa(6/3/2019)
RR
Kansas(6/3/2019)
RR
Kentucky(6/3/2019)
RR
Louisiana(6/3/2019)
RR
Maine(6/3/2019)
RR
Maryland(6/3/2019)
RR
Massachusetts(6/3/2019)
RR
Michigan(6/3/2019)
RR
Minnesota(6/3/2019)
RR
Mississippi(6/3/2019)
RR
Missouri(6/3/2019)
RR
Montana(6/3/2019)
RR
Nebraska(6/3/2019)
RR
Nevada(6/3/2019)
RR
New Hampshire(6/3/2019)
RR
New Jersey(6/3/2019)
RR
New Mexico(6/3/2019)
RR
New York(6/3/2019)
RR
North Carolina(6/3/2019)
RR
North Dakota(6/3/2019)
RR
Ohio(6/3/2019)
IAR
Ohio(6/3/2019)
RR
Oklahoma(6/3/2019)
RR
Oregon(6/3/2019)
RR
Pennsylvania(6/3/2019)
RR
Puerto Rico(6/3/2019)
RR
Rhode Island(6/3/2019)
RR
South Carolina(6/3/2019)
RR
South Dakota(6/3/2019)
RR
Tennessee(6/3/2019)
RR
Texas(6/3/2019)
RR
Utah(6/3/2019)
RR
Vermont(6/3/2019)
RR
Virginia(6/3/2019)
RR
Washington(6/3/2019)
RR
West Virginia(6/3/2019)
RR
Wisconsin(6/3/2019)
RR
Wyoming(6/3/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NI
NATIONWIDE INVESTMENT ADVISORS, LLC
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
RIA
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Contact information
Main Address
One Nationwide Plaza 03-07-202, Columbus, OH 43215
Mailing Address
Phone number
(614) 435-8371
Established
Firm type
Fiscal year end
# of Employees
417
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 270,365 |
| AUM (Assets Under Management) | $ 15,686,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 01/26/2024 | ||
| 10/26/2022 |
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.
