Paul F. Surdakowski
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.
Paul Francis Surdakowski, who also goes by Paul Surdakowski, Francis Paul Surdakowski Jr, Francis Paul Surdakowski, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2005. Paul had worked at 15 firms and has passed the Series 65, Series 66, SIE, Series 31, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2021 - May 1, 2026
NATIONWIDE INVESTMENT ADVISORS, LLC
July 22, 2021 - May 1, 2026
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 6, 2020 - October 9, 2020
TRANSAMERICA CAPITAL, LLC
June 5, 2019 - December 31, 2019
TLG ADVISORS, INC.
May 30, 2019 - December 31, 2019
THE LEADERS GROUP, INC.
January 13, 2016 - June 15, 2017
PURSHE KAPLAN STERLING INVESTMENTS
September 25, 2015 - June 6, 2017
WEALTHPLAN ADVISORS, LLC
June 3, 2013 - August 3, 2015
GLOBAL ATLANTIC DISTRIBUTORS, LLC
January 9, 2013 - February 15, 2013
MVP AMERICAN SECURITIES
September 15, 2011 - September 26, 2012
AEI SECURITIES, INC.
May 28, 2008 - August 18, 2011
CCO CAPITAL, LLC
February 13, 2008 - May 29, 2008
DIRECTED SERVICES LLC
August 21, 2007 - February 19, 2008
WELLS FARGO INVESTMENTS, LLC
April 17, 2007 - February 19, 2008
WELLS FARGO INVESTMENTS, LLC
August 12, 2006 - May 3, 2007
UBS FINANCIAL SERVICES INC.
September 26, 2005 - August 12, 2006
PIPER SANDLER & CO.
Primary Firm SEC Registration
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
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 INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
Contact information
SEC notice filing (52 States and Territories)
Documents
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 | ||
| 01/26/2024 | ||
| 10/26/2022 |
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.
