Edward C. Roush
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.
Edward Carl Roush, who also goes by Ed Roush, Edward C Roush, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1977. Edward had worked at 9 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2012 - March 13, 2015
NATIONWIDE SECURITIES, LLC
April 29, 2010 - August 7, 2012
PARK AVENUE SECURITIES LLC
August 1, 2008 - April 5, 2010
NATIONWIDE SECURITIES, LLC
July 9, 1998 - January 11, 2006
1717 CAPITAL MANAGEMENT COMPANY
June 28, 1994 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
October 18, 1989 - November 9, 1994
COVENANT SECURITIES, INC.
September 15, 1988 - October 4, 1989
G. R. PHELPS & CO., INC.
October 1, 1982 - September 12, 1986
GUARDIAN INVESTOR SERVICES LLC
January 7, 1982 - August 3, 1984
ILICOB SALES CORPORATION
February 8, 1980 - August 3, 1988
HOME LIFE INSURANCE COMPANY
February 11, 1977 - December 30, 1979
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
Primary Firm SEC Registration
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
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 1
Date: 2/6/1977
Registered Representative ExaminationCurrent Firm
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
Contact information
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.
