George D. Totin
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.
George Daniel Totin was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1978. George had worked at 8 firms and has passed the Series 65, 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
July 1, 1996 - October 1, 2019
NATIONWIDE INVESTMENT SERVICES CORPORATION
August 23, 1991 - July 1, 1996
NATIONWIDE SECURITIES, LLC
November 29, 1989 - August 6, 1991
METLIFE INVESTORS DISTRIBUTION COMPANY
August 3, 1988 - December 8, 1989
CITISTREET EQUITIES LLC
June 18, 1987 - June 4, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 18, 1987 - June 7, 1988
EQUITABLE ADVISORS, LLC
May 14, 1986 - August 7, 1986
UR FINANCIAL, INC.
March 16, 1984 - August 31, 1984
UBS FINANCIAL SERVICES INC.
October 4, 1978 - May 27, 1986
METLIFE INVESTORS DISTRIBUTION COMPANY
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: 9/22/1978
Registered Representative ExaminationCurrent 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
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.
