Susan L. Whitfield
Professional summary
Susan Lee Whitfield, who also goes by Sue Whitfield, Susan Whitfield, is a registered financial professional currently at NATIONWIDE INVESTMENT SERVICES CORPORATION located in Scottsdale, Arizona.
Susan is registered as a RR (Registered Representative) and started their career in finance in 2018. Susan has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Susan Lee Whitfield's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 6, 2025 - Present
NATIONWIDE INVESTMENT SERVICES CORPORATION
Office #1: 18700 North Hayden Rd, Scottsdale, AZ 85255May 29, 2025 - July 14, 2025
GENEOS WEALTH MANAGEMENT, INC.
November 15, 2024 - May 25, 2025
CHARLES SCHWAB & CO., INC.
April 10, 2018 - October 18, 2021
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 11/15/2024
General Securities Representative ExaminationFINRA
Current Firm
NATIONWIDE INVESTMENT SERVICES CORPORATION
CRD#: 7110 / SEC#: , 8-20254
Contact information
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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