Kenneth L. Wyman
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.
Kenneth Leroy Wyman, who also goes by Kenneth L Wyman, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1979. Kenneth had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 4, Series 53 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2016 - November 10, 2022
NATIONWIDE INVESTMENT ADVISORS, LLC
January 5, 2011 - March 21, 2016
NATIONWIDE SECURITIES, LLC
September 24, 2010 - December 31, 2010
NATIONWIDE SECURITIES, LLC
September 16, 2009 - December 31, 2010
NATIONWIDE SECURITIES, LLC
November 11, 2008 - November 10, 2022
NATIONWIDE INVESTMENT SERVICES CORPORATION
August 9, 2007 - November 6, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 16, 2007 - November 6, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 10, 2005 - April 26, 2006
BANC ONE SECURITIES CORPORATION
August 18, 2004 - April 25, 2006
CHASE INVESTMENT SERVICES CORP.
February 1, 1996 - April 26, 2006
BANC ONE SECURITIES CORPORATION
May 4, 1995 - February 1, 1996
BANC ONE ARIZONA INVESTMENT SERVICES CORPORATION
September 20, 1993 - April 26, 1995
PRINCIPAL FINANCIAL SECURITIES,INC.
April 2, 1986 - September 15, 1993
M&T SECURITIES, INC.
September 7, 1985 - September 30, 1985
FIDELITY DISTRIBUTORS CORPORATION
September 24, 1980 - September 7, 1983
CHARLES SCHWAB & CO., INC.
February 26, 1979 - September 15, 1980
MORGAN STANLEY DW INC.
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
Current 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
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.
