Raul A. Vargas

NATIONWIDE INVESTMENT ADVISORS

COLUMBUS, OH 43215

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CRD#: 4827335

Professional summary

Raul Aldrin Vargas, who also goes by Raul Vargas, is a registered financial advisor currently at NATIONWIDE INVESTMENT ADVISORS, LLC located in Columbus, Ohio and NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.

Raul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Raul has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Raul Vargas

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) - RIA

Click below to view Raul Aldrin Vargas'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

February 23, 2023 - Present

NATIONWIDE INVESTMENT ADVISORS, LLC

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

RIA

CRD#: 142373

COLUMBUS, OH

Current

February 24, 2023 - Present

NATIONWIDE INVESTMENT SERVICES CORPORATION

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

CRD#: 7110

Columbus, OH

Past

February 26, 2020 - August 9, 2021

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Orlando, FL

Past

January 8, 2020 - August 9, 2021

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Orlando, FL

Past

August 27, 2018 - December 2, 2019

NEWPORT GROUP SECURITIES, INC.

CRD#: 29722

Lake Mary, FL

Past

May 1, 2014 - August 21, 2018

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

January 3, 2013 - May 1, 2014

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

May 16, 2008 - November 30, 2012

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

ISELIN, NJ

Past

July 6, 2006 - May 5, 2008

CNL SECURITIES CORP.

CRD#: 10356

ORLANDO, FL

Past

August 1, 2005 - July 26, 2006

NEW ENGLAND SECURITIES

CRD#: 615

ORLANDO, FL

Past

November 17, 2004 - July 28, 2005

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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

Alabama
(10/18/2023)

Florida
(2/24/2023)

Georgia
(10/18/2023)

IAR

Ohio
(2/23/2023)

Puerto Rico
(10/18/2023)

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 65

Date: 2/13/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/21/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/16/2004

General Securities Representative 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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Firm Stability Insights

Raul A. Vargas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raul Aldrin Vargas's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE INVESTMENT SERVICES CORPORATION

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

NEWPORT GROUP SECURITIES, INC.

MML DISTRIBUTORS, LLC

MML INVESTORS SERVICES, LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CNL SECURITIES CORP.

NEW ENGLAND SECURITIES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

NATIONWIDE INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/13/2020

Series 63

Date: 8/21/2006

SIE

Date: 10/1/2018

Series 7

Date: 11/16/2004

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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