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KB

Katherine L. Bures

Some features on this profile are disabled
CRD#: 5083501
KB

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.

Katherine Leann Bures, who also goes by Katherine Bures, Katie Leann Bures, Katie Bures, Kate Bures, was a registered financial professional .

Katherine is a previously registered financial professional and started their career in finance in 2006. Katherine had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Katherine Bures | Katie Leann Bures | Katie Bures | Kate Bures

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

March 29, 2023 - March 27, 2026

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA
CRD#: 142373
COLUMBUS, OH
Past

March 29, 2023 - March 27, 2026

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

October 2, 2018 - March 23, 2023

MISSIONSQUARE RETIREMENT

RIA
CRD#: 108783
Marion, IA
Past

March 3, 2017 - March 23, 2023

MISSIONSQUARE WEALTH MANAGEMENT

BD
CRD#: 23189
WASHINGTON, DC
Past

May 5, 2015 - February 13, 2017

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
ST PETERSBURG, FL
Past

October 29, 2013 - March 2, 2015

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
CEDAR RAPIDS, IA
Past

July 10, 2009 - September 27, 2013

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
CEDAR RAPIDS, IA
Past

February 28, 2006 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
HIAWATHA, IA
Past

February 28, 2006 - June 30, 2009

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
CEDAR RAPIDS, IA

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".
NI
NATIONWIDE INVESTMENT ADVISORS, LLC
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/1/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/16/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/27/2006
Investment Company Products/Variable Contracts Representative Examination

Current Firm

NI
NATIONWIDE INVESTMENT ADVISORS, LLC
NATIONWIDE INVESTMENT ADVISORS, LLC

CRD#: 142373 / SEC#: 801-52664

RIA
Registered Investment Advisory firm - (8/30/1996 Approved)
PREMIUM
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts270,365
AUM (Assets Under Management)$ 15,686,000,000

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

NATIONWIDE INVESTMENT ADVISORS, LLC

CRD#: 142373

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