Victor J. Yates

NATIONWIDE INVESTMENT SERVICES

Columbus, OH 43215

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CRD#: 5799003

Professional summary

Victor Joseph Yates, who also goes by VIctor J Yates, is a registered financial professional currently at NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.

Victor is registered as a RR (Registered Representative) and started their career in finance in 2010. Victor has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Victor J Yates

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) - BD

Click below to view Victor Joseph Yates'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®

None

Experience

Current

February 1, 2024 - Present

NATIONWIDE INVESTMENT SERVICES CORPORATION

Office #1: One Nationwide Plaza, Columbus, OH 43215

CRD#: 7110

Columbus, OH

Past

March 2, 2022 - February 12, 2024

M. S. HOWELLS & CO.

CRD#: 104100

SCOTTSDALE, AZ

Past

March 23, 2017 - February 8, 2022

SAYBRUS EQUITY SERVICES, LLC

CRD#: 153319

HARTFORD, CT

Past

June 15, 2016 - March 22, 2017

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

SCOTTSDALE, AZ

Past

December 3, 2015 - March 22, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

SCOTTSDALE, AZ

Past

October 20, 2010 - November 23, 2015

NYLIFE SECURITIES LLC

CRD#: 5167

SCOTTSDALE, AZ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Connecticut
(2/8/2024)

Delaware
(2/8/2024)

District of Columbia
(2/8/2024)

Maine
(2/8/2024)

Maryland
(2/8/2024)

Massachusetts
(2/8/2024)

New Hampshire
(2/8/2024)

New Jersey
(2/8/2024)

New York
(2/8/2024)

North Carolina
(2/8/2024)

Pennsylvania
(2/8/2024)

Rhode Island
(2/8/2024)

South Carolina
(2/8/2024)

Vermont
(2/8/2024)

Virginia
(2/8/2024)

West Virginia
(2/8/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 5/14/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/19/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/18/2010

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

NATIONWIDE INVESTMENT SERVICES CORPORATION

NATIONWIDE INVESTMENT ADVISORS, LLC | PEBSCO SECURITIES CORP. | NATIONWIDE RETIREMENT INSTITUTE, A DIVISION OF NISC | NATIONWIDE INVESTMENT SVCS. CORPORATION | NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110 / SEC#: , 8-20254

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

One Nationwide Plaza 1-33-401, Columbus, OH 43215

Mailing Address

One Nationwide Plaza 1-33-401, Columbus, OH 43215

Phone number

+1 (800) 882-2822

Established

Oklahoma since 03/19/1974

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
NATIONWIDE LIFE INSURANCE COMPANY	SHAREHOLDER
AMBROZY, TINA S	PRESIDENT/BOARD DIRECTOR	3149224
HAWLEY, CRAIG ALAN	BOARD DIRECTOR	4499105
RABENSTINE, JAMES JAY	CHIEF COMPLIANCE OFFICER	2025566
ROSWELL, EWAN THEODORE	AVP, FINANCE CONTROLLERSHIP-NF AND FINOP	3056545
STEVENSON, ERIC RAY	BOARD DIRECTOR	5250338

Disclosures

Regulatory Event	4
Arbitration	1

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Victor J. Yates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Victor Joseph Yates's CRS (Customer Relationship Summary).

Certified licenses

Experience

M. S. HOWELLS & CO.

SAYBRUS EQUITY SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

NYLIFE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/14/2016

Series 63

Date: 10/19/2010

SIE

Date: 10/1/2018

Series 6

Date: 10/18/2010

FINRA

Current Firm

NATIONWIDE INVESTMENT SERVICES CORPORATION

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NATIONWIDE INVESTMENT SERVICES CORPORATION

TRUST BUT VERIFY

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