Lenny J. Fairfield
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.
Lenny Joseph Fairfield, who also goes by Lenny J Fairfield, was a registered financial professional .
Lenny is a previously registered financial professional and started their career in finance in 2003. Lenny had worked at 7 firms and has passed the Series 66, Series 63, SIE 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
March 1, 2017 - April 2, 2018
NATIONWIDE SECURITIES, LLC
June 29, 2016 - December 22, 2016
B. RILEY WEALTH ADVISORS, INC.
May 12, 2016 - December 22, 2016
NATIONAL SECURITIES CORPORATION
January 12, 2016 - May 12, 2016
RIDGEWAY CONGER ADVISORY SERVICES
January 9, 2015 - December 31, 2015
RIDGEWAY CONGER ADVISORY SERVICES
June 23, 2010 - December 31, 2014
RIDGEWAY CONGER ADVISORY SERVICES
June 18, 2010 - May 12, 2016
RIDGEWAY & CONGER, INC.
May 8, 2007 - June 24, 2010
LPL FINANCIAL LLC
August 11, 2006 - June 24, 2010
LPL FINANCIAL LLC
June 3, 2003 - August 16, 2006
EDWARD JONES
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
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