AB
Alexander J. Baines
NATIONWIDE SECURITIES
Louisville, KY
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CRD#: 6145805
AB
Professional summary
Alexander Joseph Baines is a registered financial advisor currently at NATIONWIDE SECURITIES, LLC located in Louisville, Kentucky.
Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Alexander has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Alexander Joseph Baines's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alexander Joseph Baines'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
October 10, 2018 - Present
NATIONWIDE SECURITIES, LLC
RIA
BD
CRD#: 11173
Louisville, KY
Current
January 14, 2019 - Present
NATIONWIDE SECURITIES, LLC
RIA
BD
CRD#: 11173
Louisville, KY
Past
February 4, 2013 - January 15, 2019
JEFFERSON NATIONAL SECURITIES CORPORATION
BD
CRD#: 47582
COLUMBUS, OH
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".
NS
NATIONWIDE SECURITIES, LLC
NATIONWIDE ADVISORY SERVICES, INC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, LLC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, INC. | NATIONWIDE SECURITIES, LLC | NATIONWIDE SECURITIES, INC. | NATIONWIDE ADVISORY SERVICES, INC.
CRD#: 11173 / SEC#: 801-69260, 8-12500
RIA
Registered Investment Advisory firm - SEC (7/9/2008 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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(1/14/2019)
RR
Alaska(1/15/2019)
RR
Arizona(1/14/2019)
RR
Arkansas(1/14/2019)
RR
California(1/14/2019)
RR
Colorado(1/14/2019)
RR
Connecticut(1/14/2019)
RR
Delaware(1/14/2019)
RR
District of Columbia(1/14/2019)
RR
Florida(1/14/2019)
RR
Georgia(1/14/2019)
RR
Hawaii(1/14/2019)
RR
Idaho(1/14/2019)
RR
Illinois(1/14/2019)
RR
Indiana(1/15/2019)
RR
Iowa(1/14/2019)
RR
Kansas(1/14/2019)
IAR
Kentucky(10/10/2018)
RR
Kentucky(1/14/2019)
RR
Louisiana(1/14/2019)
RR
Maine(1/14/2019)
RR
Maryland(1/14/2019)
RR
Massachusetts(1/15/2019)
RR
Michigan(1/14/2019)
RR
Minnesota(1/14/2019)
RR
Mississippi(1/14/2019)
RR
Missouri(1/14/2019)
RR
Montana(1/14/2019)
RR
Nebraska(1/15/2019)
RR
Nevada(1/15/2019)
RR
New Hampshire(1/14/2019)
RR
New Jersey(1/14/2019)
RR
New Mexico(1/14/2019)
RR
New York(1/14/2019)
RR
North Carolina(1/15/2019)
RR
North Dakota(1/14/2019)
RR
Ohio(1/14/2019)
RR
Oklahoma(1/14/2019)
RR
Oregon(1/15/2019)
RR
Pennsylvania(1/15/2019)
RR
Rhode Island(1/14/2019)
RR
South Carolina(1/14/2019)
RR
South Dakota(1/14/2019)
RR
Tennessee(1/14/2019)
RR
Texas(1/14/2019)
RR
Utah(1/15/2019)
RR
Vermont(1/14/2019)
RR
Virginia(1/15/2019)
RR
Washington(1/14/2019)
RR
West Virginia(1/15/2019)
RR
Wisconsin(1/14/2019)
RR
Wyoming(1/14/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NS
NATIONWIDE SECURITIES, LLC
NATIONWIDE ADVISORY SERVICES, INC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, LLC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, INC. | NATIONWIDE SECURITIES, LLC | NATIONWIDE SECURITIES, INC. | NATIONWIDE ADVISORY SERVICES, INC.
CRD#: 11173 / SEC#: 801-69260, 8-12500
RIA
Registered Investment Advisory firm - SEC (7/9/2008 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
One Nationwide Plaza Mailing Code: 01-17-402, Columbus, OH 43215
Mailing Address
One Nationwide Plaza 1-33-401, Columbus, OH 43215
Phone number
(888) 753-7364
Established
Delaware since 10/09/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
24
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS, INC. | MANAGING MEMBER | |
| ANIANO, JOSEPH NICHOLAS | PRESIDENT | 4303290 |
| GINNAN, STEVEN A. | BOARD MANAGER | 6984613 |
| JESTICE, KEVIN THOMAS | BOARD MANAGER | 5363377 |
| RABENSTINE, JAMES JAY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD MANAGER | 5250338 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
