Louis Moreno

NATIONWIDE INVESTMENT ADVISORS

BOCA RATON, FL 33433

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CRD#: 843766

Professional summary

Louis Moreno is a registered financial advisor currently at NATIONWIDE INVESTMENT ADVISORS, LLC located in Boca Raton, Florida and NATIONWIDE INVESTMENT SERVICES CORPORATION located in Boca Raton, Florida.

Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Louis has worked at 6 firms and has passed the Series 65, Series 63, Series 6TO, Series 22TO, SIE, Series 1 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

101 POWDERWOOD CONDO 2B PARK CITY UTAH 84098, START 6/1/05, SPENDS 0 HRS/MO. 757 MAPLE DR PARK CITY UTAH 84098, START 6/1/05, SPENDS 0 HRS/MO.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Moreno'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

June 28, 2006 - Present

NATIONWIDE INVESTMENT ADVISORS, LLC

Office #1: 21707 Altamira Avenue, Boca Raton, FL 33433

RIA

CRD#: 142373

BOCA RATON, FL

Current

August 7, 1980 - Present

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

BOCA RATON, FL

Past

June 28, 2006 - December 5, 2006

NATIONWIDE INVESTMENT SERVICES CORPORATION

RIA

CRD#: 7110

SANTA FE, NM

Past

October 15, 1979 - October 22, 1981

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

Past

October 5, 1977 - April 25, 1978

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

October 5, 1977 - April 25, 1978

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

October 5, 1977 - April 25, 1978

IDS LIFE INSURANCE COMPANY

CRD#: 6321

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
(4/11/2002)

Arizona
(9/25/2024)

Arkansas
(4/11/2002)

California
(4/24/2023)

Colorado
(9/25/2024)

Connecticut
(9/25/2024)

Florida
(1/2/1992)

Georgia
(9/25/2024)

Idaho
(9/25/2024)

Illinois
(9/25/2024)

Indiana
(9/25/2024)

Kentucky
(9/25/2024)

Louisiana
(9/15/1998)

Maryland
(9/25/2024)

Michigan
(9/25/2024)

Minnesota
(9/25/2024)

Missouri
(10/15/2024)

Nebraska
(9/25/2024)

Nevada
(11/3/2024)

New Jersey
(9/25/2024)

IAR

Ohio
(10/31/2007)

Ohio
(9/26/2024)

Oklahoma
(10/29/2001)

Oregon
(9/25/2024)

Pennsylvania
(9/25/2024)

South Dakota
(9/25/2024)

Tennessee
(9/25/2024)

Texas
(4/11/2002)

Utah
(9/25/2024)

Washington
(8/25/2021)

Wisconsin
(9/25/2024)

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 65

Date: 6/26/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/26/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22TO

Date: 1/2/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 9/6/1977

Registered Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/12/1996

Investment Company Products/Variable Contracts Principal 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.

Contact information

xxxxx@xxxx.xxx

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Louis Moreno

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Moreno's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE INVESTMENT SERVICES CORPORATION

NATIONWIDE INVESTMENT SERVICES CORPORATION

WOODBURY FINANCIAL SERVICES, INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

Primary Firm SEC Registration

NATIONWIDE INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/26/2006

Series 63

Date: 10/26/2001

Series 6TO

Date: 1/2/2023

Series 22TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 9/6/1977

Series 26

Date: 2/12/1996

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

Contact information

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