FS
Frank W. Spencer
NATIONWIDE INVESTMENT SERVICES
Columbus, OH 43215
Some features on this profile are disabled
CRD#: 4857594
FS
Professional summary
Frank Winegarner Spencer III is a registered financial professional currently at NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.
Frank is registered as a RR (Registered Representative) and started their career in finance in 2004. Frank has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Frank Winegarner Spencer III'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®
NoneExperience
Current
January 26, 2010 - Present
NATIONWIDE INVESTMENT SERVICES CORPORATION
Office #1: One Nationwide Plaza, Columbus, OH 43215BD
CRD#: 7110
Columbus, OH
Past
June 25, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
COLUMBUS, OH
Past
June 25, 2007 - January 8, 2010
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
COLUMBUS, OH
Past
October 25, 2004 - June 26, 2007
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
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
Alabama(1/26/2010)
RR
Alaska(1/26/2010)
RR
Arizona(1/26/2010)
RR
Arkansas(1/26/2010)
RR
California(1/26/2010)
RR
Colorado(1/26/2010)
RR
Connecticut(1/26/2010)
RR
Delaware(1/26/2010)
RR
District of Columbia(1/26/2010)
RR
Florida(1/26/2010)
RR
Georgia(1/26/2010)
RR
Hawaii(1/26/2010)
RR
Idaho(1/26/2010)
RR
Illinois(1/26/2010)
RR
Indiana(1/26/2010)
RR
Iowa(1/26/2010)
RR
Kansas(1/26/2010)
RR
Kentucky(1/26/2010)
RR
Louisiana(1/26/2010)
RR
Maine(1/26/2010)
RR
Maryland(1/26/2010)
RR
Massachusetts(1/26/2010)
RR
Michigan(1/26/2010)
RR
Minnesota(1/26/2010)
RR
Mississippi(1/26/2010)
RR
Missouri(1/26/2010)
RR
Montana(1/26/2010)
RR
Nebraska(1/26/2010)
RR
Nevada(1/26/2010)
RR
New Hampshire(1/26/2010)
RR
New Jersey(1/26/2010)
RR
New Mexico(1/26/2010)
RR
New York(1/26/2010)
RR
North Carolina(1/26/2010)
RR
North Dakota(1/26/2010)
RR
Ohio(1/26/2010)
RR
Oklahoma(1/26/2010)
RR
Oregon(1/26/2010)
RR
Pennsylvania(1/26/2010)
RR
Puerto Rico(1/26/2010)
RR
Rhode Island(1/26/2010)
RR
South Carolina(1/26/2010)
RR
South Dakota(1/26/2010)
RR
Texas(1/26/2010)
RR
Utah(1/26/2010)
RR
Vermont(1/26/2010)
RR
Virginia(1/26/2010)
RR
Washington(1/26/2010)
RR
West Virginia(1/26/2010)
RR
Wisconsin(1/26/2010)
RR
Wyoming(1/26/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NI
NATIONWIDE INVESTMENT SERVICES CORPORATION
NATIONWIDE INVESTMENT ADVISORS, LLC | PEBSCO SECURITIES CORP. | NATIONWIDE RETIREMENT INSTITUTE, A DIVISION OF NISC | NATIONWIDE INVESTMENT SVCS. CORPORATION | NATIONWIDE INVESTMENT SERVICES CORPORATION
CRD#: 7110 / SEC#: , 8-20254
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
One Nationwide Plaza 1-33-401, Columbus, OH 43215
Mailing Address
One Nationwide Plaza 1-33-401, Columbus, OH 43215
Phone number
+1 (800) 882-2822
Established
Oklahoma since 03/19/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONWIDE LIFE INSURANCE COMPANY | SHAREHOLDER | |
| AMBROZY, TINA S | PRESIDENT/BOARD DIRECTOR | 3149224 |
| HAWLEY, CRAIG ALAN | BOARD DIRECTOR | 4499105 |
| RABENSTINE, JAMES JAY | CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD DIRECTOR | 5250338 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
