Luke R. Garland
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.
Luke Robert Garland, who also goes by Lukas R Garland, Luke R Garland, Lucas Robert Garland, was a registered financial professional .
Luke is a previously registered financial professional and started their career in finance in 2004. Luke had worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 3 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2016 - April 8, 2026
NATIONWIDE FUND DISTRIBUTORS LLC
March 30, 2011 - October 3, 2012
NATIONWIDE INVESTMENT SERVICES CORPORATION
May 20, 2010 - July 9, 2010
NATIONWIDE SECURITIES, LLC
February 6, 2009 - December 7, 2009
CUSO FINANCIAL SERVICES, L.P.
February 5, 2009 - December 7, 2009
CUSO FINANCIAL SERVICES, L.P.
February 28, 2007 - November 5, 2008
NATCITY INVESTMENTS, INC.
February 28, 2007 - November 5, 2008
NATCITY INVESTMENTS, INC.
August 1, 2006 - February 16, 2007
GUNNALLEN FINANCIAL, INC
July 28, 2006 - February 16, 2007
GUNNALLEN FINANCIAL, INC
April 21, 2005 - July 31, 2006
PRUCO SECURITIES, LLC.
August 2, 2004 - July 31, 2006
PRUCO SECURITIES, LLC.
April 14, 2004 - May 14, 2004
FORESTERS FINANCIAL SERVICES, INC.
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 FUND DISTRIBUTORS LLC
CRD#: 25910 / SEC#: , 8-42135
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS INC. | OWNER | |
| ANIANO, JOSEPH NICHOLAS | SENIOR VICE PRESIDENT, INVESTMENT MANAGEMENT GROUP | 4303290 |
| BUTSON, HOLLY ANN | CHIEF COMPLIANCE OFFICER | 724115 |
| CUMMINGS, LELAND THOMAS | CHAIRMAN, DIRECTOR & PRESIDENT | 2523271 |
| GINNAN, STEVEN A. | MANAGER | 6984613 |
| HAWLEY, CRAIG ALAN | MANAGER | 4499105 |
| RIMES, STEPHEN RANDOLPH | VP, ASSOCIATE GENERAL COUNSEL AND ASSISTANT SECRETARY | 4138948 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
Disclosures
| Regulatory Event | 1 |
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.
