Margaret L. Volpe-rodgers
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.
Margaret Louise Volpe-rodgers, who also goes by Margaret Louise Volpe, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1978. Margaret had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 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
June 26, 2009 - January 5, 2021
NATIONWIDE INVESTMENT ADVISORS, LLC
January 24, 1997 - January 5, 2021
NATIONWIDE INVESTMENT SERVICES CORPORATION
November 7, 1995 - January 15, 1997
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 1, 1994 - May 9, 1995
PIPER SANDLER & CO.
February 10, 1994 - August 16, 1994
IFMG SECURITIES, INC.
October 11, 1991 - February 26, 1994
CAPITAL BROKERAGE CORPORATION
November 7, 1989 - December 31, 1990
TITAN/VALUE EQUITIES GROUP, INC.
February 28, 1987 - November 7, 1989
VALUE EQUITIES CORPORATION
April 25, 1986 - February 18, 1987
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 28, 1985 - February 13, 1987
BOARDWALK CAPITAL CORPORATION
August 31, 1984 - December 18, 1984
PROTECTED INVESTORS OF AMERICA
June 22, 1982 - November 21, 1983
NPC SECURITIES, INC.
January 20, 1978 - June 25, 1981
NATIONWIDE INVESTMENT SERVICES CORPORATION
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 1
Date: 1/14/1978
Registered 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
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