KB
Kenneth J. Bart
NATIONWIDE INVESTMENT ADVISORS
COLUMBUS, OH 43215
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CRD#: 5490240
KB
Professional summary
Kenneth Joseph Bart, who also goes by Ken Bart, Kenneth Bart, is a registered financial advisor currently at NATIONWIDE INVESTMENT ADVISORS, LLC located in Columbus, Ohio and NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Kenneth has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ken Bart | Kenneth Bart
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.
PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/22/2022 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Formally designated a bank officer in order to access information and adequately support/manage Principal retirement plan account relationships across both the insurance/broker-dealer and bank/trust offerings of Principal.
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Joseph Bart'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
December 22, 2023 - Present
NATIONWIDE INVESTMENT ADVISORS, LLC
Office #1: One Nationwide Plaza 03-07-202, Columbus, OH 43215RIA
CRD#: 142373
COLUMBUS, OH
Current
December 21, 2023 - Present
NATIONWIDE INVESTMENT SERVICES CORPORATION
Office #1: One Nationwide Plaza, Columbus, OH 43215BD
CRD#: 7110
Columbus, OH
Past
June 13, 2022 - November 2, 2022
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
COLONIE, NY
Past
June 13, 2022 - November 2, 2022
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
September 28, 2020 - November 24, 2020
PRUDENTIAL SELECT STRATEGIES LLC
RIA
CRD#: 286153
Colonie, NY
Past
September 28, 2020 - October 21, 2021
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
February 9, 2016 - January 8, 2020
TRANSAMERICA RETIREMENT ADVISORS, LLC
RIA
CRD#: 107319
Colonie, NY
Past
November 18, 2014 - January 8, 2020
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
HARRISON, NY
Past
July 11, 2008 - December 12, 2013
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
TROY, 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".
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(12/21/2023)
RR
Alaska(12/21/2023)
RR
Arizona(12/21/2023)
RR
Arkansas(12/21/2023)
RR
California(12/21/2023)
RR
Colorado(12/21/2023)
RR
Connecticut(12/21/2023)
RR
Delaware(12/21/2023)
RR
District of Columbia(12/21/2023)
RR
Florida(12/21/2023)
RR
Georgia(12/21/2023)
RR
Hawaii(12/21/2023)
RR
Idaho(12/21/2023)
RR
Illinois(12/21/2023)
RR
Indiana(12/21/2023)
RR
Iowa(12/21/2023)
RR
Kansas(12/21/2023)
RR
Kentucky(12/21/2023)
RR
Louisiana(12/21/2023)
RR
Maine(12/21/2023)
RR
Maryland(12/21/2023)
RR
Massachusetts(12/21/2023)
RR
Michigan(12/21/2023)
RR
Minnesota(12/21/2023)
RR
Mississippi(12/21/2023)
RR
Missouri(12/21/2023)
RR
Montana(12/21/2023)
RR
Nebraska(12/21/2023)
RR
Nevada(12/21/2023)
RR
New Hampshire(12/21/2023)
RR
New Jersey(12/21/2023)
RR
New Mexico(12/21/2023)
RR
New York(12/21/2023)
RR
North Carolina(12/21/2023)
RR
North Dakota(12/21/2023)
RR
Ohio(12/22/2023)
IAR
Ohio(12/22/2023)
RR
Oklahoma(12/21/2023)
RR
Oregon(12/21/2023)
RR
Pennsylvania(12/21/2023)
RR
Puerto Rico(12/21/2023)
RR
Rhode Island(12/21/2023)
RR
South Carolina(12/21/2023)
RR
South Dakota(12/21/2023)
RR
Tennessee(12/21/2023)
RR
Texas(12/21/2023)
RR
Utah(12/21/2023)
RR
Vermont(12/21/2023)
RR
Virginia(12/21/2023)
RR
Washington(12/21/2023)
RR
West Virginia(12/21/2023)
RR
Wisconsin(12/21/2023)
RR
Wyoming(12/21/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/14/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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)Upgrade to AdvisorCheck 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)
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.
