Ethan L. Rivera

NATIONWIDE INVESTMENT ADVISORS

COLUMBUS, OH 43215

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CRD#: 7280814

Professional summary

Ethan L Rivera, who also goes by Ethan Rivera, is a registered financial advisor currently at NATIONWIDE INVESTMENT ADVISORS, LLC located in Columbus, Ohio and NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.

Ethan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Ethan has worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ethan Rivera

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) - RIA

Click below to view Ethan L Rivera's CRS (Customer Relationship Summary).

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

October 9, 2024 - Present

NATIONWIDE INVESTMENT ADVISORS, LLC

Office #1: One Nationwide Plaza 03-07-202, Columbus, OH 43215

RIA

CRD#: 142373

COLUMBUS, OH

Current

October 8, 2024 - Present

NATIONWIDE INVESTMENT SERVICES CORPORATION

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

CRD#: 7110

Columbus, OH

Past

October 5, 2023 - September 16, 2024

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

Florence, SC

Past

October 5, 2023 - September 16, 2024

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

Florence, SC

Past

December 9, 2021 - September 13, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

FLORENCE, SC

Past

November 23, 2021 - September 12, 2023

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

JACKSONVILLE, FL

Past

February 9, 2021 - October 15, 2021

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

HEATHROW, FL

Past

January 11, 2021 - October 15, 2021

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

HEATHROW, FL

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".

NATIONWIDE INVESTMENT ADVISORS, LLC

CRD#: 142373 / SEC#: 801-52664

RIA

Registered Investment Advisory firm - (8/30/1996 Approved)

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.

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

Alabama
(10/8/2024)

Alaska
(10/8/2024)

Arizona
(10/8/2024)

Arkansas
(10/8/2024)

California
(10/8/2024)

Colorado
(10/8/2024)

Connecticut
(10/8/2024)

Delaware
(10/8/2024)

District of Columbia
(10/8/2024)

Florida
(10/8/2024)

Georgia
(10/8/2024)

Hawaii
(10/8/2024)

Idaho
(10/8/2024)

Illinois
(10/8/2024)

Indiana
(10/8/2024)

Iowa
(10/8/2024)

Kansas
(10/8/2024)

Kentucky
(10/8/2024)

Louisiana
(10/8/2024)

Maine
(10/8/2024)

Maryland
(10/8/2024)

Massachusetts
(10/8/2024)

Michigan
(10/8/2024)

Minnesota
(10/8/2024)

Mississippi
(10/8/2024)

Missouri
(10/8/2024)

Montana
(10/8/2024)

Nebraska
(10/8/2024)

Nevada
(10/8/2024)

New Hampshire
(10/8/2024)

New Jersey
(10/8/2024)

New Mexico
(10/8/2024)

New York
(10/8/2024)

North Carolina
(10/8/2024)

North Dakota
(10/8/2024)

Ohio
(10/9/2024)

IAR

Ohio
(10/9/2024)

Oklahoma
(10/8/2024)

Oregon
(10/8/2024)

Pennsylvania
(10/8/2024)

Puerto Rico
(10/8/2024)

Rhode Island
(10/8/2024)

South Carolina
(10/8/2024)

South Dakota
(10/8/2024)

Tennessee
(10/8/2024)

Texas
(10/8/2024)

Utah
(10/8/2024)

Vermont
(10/8/2024)

Virginia
(10/8/2024)

Washington
(10/8/2024)

West Virginia
(10/8/2024)

Wisconsin
(10/8/2024)

Wyoming
(10/8/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/8/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/11/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/11/2020

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

NATIONWIDE INVESTMENT ADVISORS, LLC

CRD#: 142373 / SEC#: 801-52664

RIA

Registered Investment Advisory firm - (8/30/1996 Approved)

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Contact information

Main Address

One Nationwide Plaza 03-07-202, Columbus, OH 43215

Mailing Address

Phone number

(614) 435-8371

Established

Firm type

Fiscal year end

# of Employees

417

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NIA FORM ADV PART 2A BROCHURE (7/8/2025)

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	Cover Page	Report
01/26/2024	Cover Page	Report
10/26/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Ethan L. Rivera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ethan L Rivera's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE INVESTMENT SERVICES CORPORATION

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

NATIONWIDE INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/8/2021

Series 7TO

Date: 1/11/2021

SIE

Date: 11/11/2020

FINRA

Current Firm

NATIONWIDE INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NATIONWIDE INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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