Rochelle M. Davis
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.
Rochelle Marie Davis, who also goes by Rochelle M Davis, was a registered financial professional .
Rochelle is a previously registered financial professional and started their career in finance in 2010. Rochelle had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2016 - June 27, 2025
NATIONWIDE INVESTMENT ADVISORS, LLC
October 4, 2016 - June 27, 2025
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 1, 2015 - September 15, 2016
SECURITIES AMERICA, INC.
August 28, 2015 - September 15, 2016
SECURITIES AMERICA ADVISORS, INC.
October 21, 2014 - January 15, 2015
FIDELITY BROKERAGE SERVICES LLC
August 5, 2014 - September 8, 2014
FORTUNE FINANCIAL SERVICES, INC.
June 4, 2014 - August 5, 2014
FINANCIAL TELESIS INC
December 18, 2013 - January 23, 2014
INDEPENDENT FINANCIAL PARTNERS
December 4, 2013 - February 25, 2014
LPL FINANCIAL LLC
May 5, 2011 - September 16, 2013
MORGAN STANLEY
March 22, 2010 - September 16, 2013
MORGAN STANLEY
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.
