Michael Bennett
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.
Michael Bennett, who also goes by Michael B Bennett, Michael Benjamin Bennett, Michael Bennett, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2020. Michael had worked at 5 firms and has passed the Series 66, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2024 - September 9, 2025
NATIONWIDE INVESTMENT ADVISORS, LLC
May 3, 2024 - September 9, 2025
NATIONWIDE INVESTMENT SERVICES CORPORATION
May 18, 2021 - October 6, 2023
VALIC FINANCIAL ADVISORS, INC.
May 18, 2021 - October 6, 2023
VALIC FINANCIAL ADVISORS, INC.
October 15, 2020 - December 18, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
September 25, 2020 - December 18, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
January 4, 2020 - July 17, 2020
TRANSAMERICA INVESTORS SECURITIES, LLC
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
Series 7TO
Date: 9/25/2020
General Securities Representative ExaminationSeries 6TO
Date: 1/4/2020
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
