Alfonso A. Sorichetti

NATIONWIDE INVESTMENT ADVISORS

COLUMBUS, OH 43215

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CRD#: 4729132

Professional summary

Alfonso Anthony Sorichetti JR, who also goes by Alfonso A Sorichetti, Alfonso Anthony Sorichetti Jr., is a registered financial advisor currently at NATIONWIDE INVESTMENT ADVISORS, LLC located in Columbus, Ohio and NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.

Alfonso is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Alfonso has worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alfonso A Sorichetti | Alfonso Anthony Sorichetti Jr.

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.

--Position: President SFSP-SJC Company/Employer: Society of Financial Services Professionals SFSP Location: Ardmore, PA Start Date: 07/11/2022 Hours Devoted Monthly: 4 Hours During Trading Hours: 1 Investment Related: No

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alfonso Anthony Sorichetti JR's CRS (Customer Relationship Summary).

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

March 10, 2016 - Present

NATIONWIDE INVESTMENT ADVISORS, LLC

Office #1: One Nationwide Plaza 03-07-202, Columbus, OH 43215

RIA

CRD#: 142373

COLUMBUS, OH

Current

January 15, 2015 - Present

NATIONWIDE INVESTMENT SERVICES CORPORATION

Office #1: One Nationwide Plaza, Columbus, OH 43215

CRD#: 7110

Columbus, OH

Past

February 6, 2015 - March 21, 2016

NATIONWIDE SECURITIES, LLC

RIA

CRD#: 11173

COLUMBUS, OH

Past

September 25, 2013 - January 16, 2015

NATIONWIDE SECURITIES, LLC

RIA

CRD#: 11173

COLUMBUS, OH

Past

April 26, 2013 - January 16, 2015

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

April 23, 2010 - April 29, 2013

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

DUBLIN, OH

Past

December 10, 2009 - January 8, 2010

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

DUBLIN, OH

Past

October 10, 2008 - April 14, 2009

BELLATORE FINANCIAL, INC.

RIA

CRD#: 143543

SAN JOSE, CA

Past

October 10, 2008 - April 14, 2009

CLARKESON RESEARCH INC.

CRD#: 143868

SAN JOSE, CA

Past

January 5, 2007 - September 12, 2008

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA

CRD#: 142373

COLUMBUS, OH

Past

September 14, 2006 - September 15, 2008

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

DUBLIN, OH

Past

February 2, 2005 - April 22, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

W. CONSHOHOCKEN, PA

Past

February 2, 2005 - April 22, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

February 2, 2005 - April 22, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

December 3, 2003 - December 17, 2004

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

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.

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

Delaware
(5/18/2020)

District of Columbia
(5/18/2020)

Maryland
(1/30/2020)

New Jersey
(5/18/2020)

IAR

Ohio
(3/10/2016)

Pennsylvania
(1/30/2020)

Virginia
(1/30/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/8/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/2/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/28/2013

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NATIONWIDE INVESTMENT ADVISORS, LLC

CRD#: 142373 / SEC#: 801-52664

RIA

Registered Investment Advisory firm - (8/30/1996 Approved)

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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

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NIA FORM ADV PART 2A BROCHURE (7/8/2025)

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	Cover Page	Report
01/26/2024	Cover Page	Report
10/26/2022	Cover Page	Report

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.

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Alfonso A. Sorichetti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alfonso Anthony Sorichetti JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE INVESTMENT SERVICES CORPORATION

NATIONWIDE SECURITIES, LLC

NATIONWIDE SECURITIES, LLC

NATIONWIDE SECURITIES, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

MSI FINANCIAL SERVICES, INC.

BELLATORE FINANCIAL, INC.

CLARKESON RESEARCH INC.

NATIONWIDE INVESTMENT ADVISORS, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

NATIONWIDE INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/8/2004

SIE

Date: 10/1/2018

Series 7

Date: 12/2/2003

Series 24

Date: 5/28/2013

FINRA

Current Firm

NATIONWIDE INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NATIONWIDE INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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