Nationwide Securities, LLC

Registered investment adviser · Columbus, OH · CRD #11173

Form ADV data as of 2026-09-01

Regulatory assets

Total accounts

Employees

Disclosure events

Firm details

Website: https://www.nationwide.com/nationwide-securities-information.jsp
Telephone: 888-753-7364
SEC file number: 801-69260
Most recent Form ADV filing: 2026-07-16
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 6 disclosure questions answered Yes, covering 20 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
A self-regulatory organization found a violation of its rules

Assets and accounts

Provides continuous and regular supervisory or management services	No
Discretionary regulatory assets under management	$0
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$0
Discretionary accounts	0
Non-discretionary accounts	0
Total accounts	0

People

Total employees (excluding clerical)	26
Employees performing investment advisory functions (including research)	7
Employees who are registered representatives of a broker-dealer	26
Employees registered as investment adviser representatives with a state	26
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	18
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	Yes
Number of persons acting as qualified custodians for the firm's clients	1

How the firm is compensated

A percentage of assets under management

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)

Other business activities

Broker-dealer (registered or unregistered)Insurance broker or agent

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Banking or thrift institutionInsurance company or agencyPension consultantSponsor, general partner, or managing member of pooled investment vehicles

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	108	$0