Gale S. Almgren

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CRD#: 4781513

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.

Gale Shank Almgren, who also goes by Gale S Almgren, Gale S. Almgren, Gale Shank Almgren, Gale Almgren, Gale S Carroll, Gale Shank Carroll, Gale Shank Carroll -almgren, Gale Carroll -almgren, Brenda Gale Shank, was a registered financial professional .

Gale is a previously registered financial professional and started their career in finance in 2004. Gale had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 12, 2016 - April 12, 2017

NATIONWIDE SECURITIES, LLC

CRD#: 11173

Oxford, PA

Past

November 13, 2014 - June 17, 2016

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

ELKTON, MD

Past

November 6, 2014 - June 17, 2016

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

ELKTON, MD

Past

June 6, 2011 - June 3, 2014

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

DOVER, DE

Past

January 18, 2011 - June 3, 2014

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

DOVER, DE

Past

May 14, 2010 - November 5, 2010

PARKLAND SECURITIES, LLC

CRD#: 115368

NEWARK, DE

Past

September 30, 2009 - May 17, 2010

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

NEWARK, DE

Past

August 31, 2009 - May 17, 2010

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, DE

Past

November 29, 2005 - August 6, 2009

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

HARVE DE GRACE, MD

Past

November 29, 2005 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW CASTLE, DE

Past

November 29, 2005 - August 6, 2009

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

HARVE DE GRACE, MD

Past

June 10, 2005 - December 31, 2005

CITISTREET FINANCIAL SERVICES LLC

RIA

CRD#: 107311

ALPHARETTA, GA

Past

January 13, 2005 - December 31, 2005

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

Past

June 4, 2004 - January 14, 2005

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

June 4, 2004 - January 14, 2005

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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 SECURITIES, LLC

NATIONWIDE ADVISORY SERVICES, INC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, LLC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, INC. | NATIONWIDE SECURITIES, LLC | NATIONWIDE SECURITIES, INC. | NATIONWIDE ADVISORY SERVICES, INC.

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA

Registered Investment Advisory firm - SEC (7/9/2008 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/9/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/16/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/12/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/3/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NATIONWIDE SECURITIES, LLC

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA

Registered Investment Advisory firm - SEC (7/9/2008 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

One Nationwide Plaza Mailing Code: 01-17-402, Columbus, OH 43215

Mailing Address

One Nationwide Plaza 1-33-401, Columbus, OH 43215

Phone number

(888) 753-7364

Established

Delaware since 10/09/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

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

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

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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Firm Stability Insights

Gale S. Almgren

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

PARKLAND SECURITIES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

CITISTREET FINANCIAL SERVICES LLC

CITISTREET EQUITIES LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

NATIONWIDE SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/9/2005

Series 63

Date: 6/16/2004

SIE

Date: 4/12/2017

Series 6

Date: 6/3/2004

Current Firm

NATIONWIDE SECURITIES, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NATIONWIDE SECURITIES, LLC

TRUST BUT VERIFY

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