Susan M. O'connor
Professional summary
Susan Mary O'connor, who also goes by Susan Mary Oconnor, is a registered financial professional currently at NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.
Susan is registered as a RR (Registered Representative) and started their career in finance in 1981. Susan has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Susan Mary O'connor's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 10, 2000 - Present
NATIONWIDE INVESTMENT SERVICES CORPORATION
Office #1: One Nationwide Plaza, Columbus, OH 43215February 10, 2000 - December 31, 2000
NATIONWIDE SECURITIES, LLC
January 14, 1998 - January 21, 2000
NYLIFE SECURITIES LLC
July 28, 1997 - November 26, 1997
BLACKROCK INVESTMENTS, LLC
April 6, 1982 - August 14, 1997
BNY MELLON SECURITIES CORPORATION
May 18, 1981 - March 23, 1982
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/27/2008)
(11/10/2000)
Exams
FINRA
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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