Elizabeth L. Schlater
Professional summary
Elizabeth L Schlater, who also goes by Elizabeth L Hochstettler, is a registered financial professional currently at NATIONWIDE FUND DISTRIBUTORS LLC located in Columbus, Ohio.
Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 2009. Elizabeth has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth L Schlater's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 23, 2019 - Present
NATIONWIDE FUND DISTRIBUTORS LLC
Office #1: One Nationwide Plaza 1-18-102, Columbus, OH 43215April 3, 2017 - March 26, 2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 2, 2011 - September 6, 2016
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
September 22, 2009 - May 2, 2011
JPMORGAN DISTRIBUTION SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/23/2019)
Exams
FINRA
Current Firm
NATIONWIDE FUND DISTRIBUTORS LLC
CRD#: 25910 / SEC#: , 8-42135
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS INC. | OWNER | |
| BUTSON, HOLLY ANN | CHIEF COMPLIANCE OFFICER | 724115 |
| CUMMINGS, LELAND THOMAS | CHAIRMAN, DIRECTOR & PRESIDENT | 2523271 |
| GINNAN, STEVEN A. | MANAGER | 6984613 |
| HAWLEY, CRAIG ALAN | MANAGER | 4499105 |
| RIMES, STEPHEN RANDOLPH | VP, ASSOCIATE GENERAL COUNSEL AND ASSISTANT SECRETARY | 4138948 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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