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NG

Nicholas T. Graham

NATIONWIDE FUND DISTRIBUTORS LLC
Columbus, OH 43215
Some features on this profile are disabled
CRD#: 4759764
NG

Professional summary

Nicholas Teachnor Graham is a registered financial professional currently at NATIONWIDE FUND DISTRIBUTORS LLC located in Columbus, Ohio.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2004. Nicholas has worked at 7 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Teachnor Graham'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

August 24, 2016 - Present

NATIONWIDE FUND DISTRIBUTORS LLC

Office #1: One Nationwide Plaza 1-18-102, Columbus, OH 43215
BD
CRD#: 25910
Columbus, OH
Past

March 10, 2016 - August 2, 2024

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA
CRD#: 142373
COLUMBUS, OH
Past

March 2, 2012 - March 21, 2016

NATIONWIDE SECURITIES, LLC

RIA
CRD#: 11173
COLUMBUS, OH
Past

December 23, 2009 - September 14, 2016

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

November 3, 2008 - December 31, 2010

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
DUBLIN, OH
Past

December 2, 2004 - April 18, 2007

THE HUNTINGTON INVESTMENT COMPANY

BD
CRD#: 16986
COLUMBUS, OH
Past

April 22, 2004 - May 19, 2004

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

April 22, 2004 - May 19, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
Indiana
(8/24/2016)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/11/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/28/2009
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/6/2006
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/13/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

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#: 25910Columbus, OH 43215

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