Joseph Robert Rossi

Employer firm

Nationwide Investment Advisors, LLC CRD 142373

$16.7B regulatory AUM

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2015 → 12/2016
  Principal Life Insurance Co
  Denver, CO
• 06/2015 → 12/2016
  Princor Financial Services Corporation
  Denver, CO
• 09/2018 → Present
  Charles Schwab & Co., Inc.
  Lone Tree, CO
• 03/2017 → 08/2018
  Transamerica
  Denver, CO

Previous Registrations

• 2018-11-14 → 2023-11-08
  Charles Schwab & Co., Inc.
  Lone Tree, CO
• 2015-06-24 → 2017-01-12
  Principal Securities, Inc.
  Denver, CO
• 2013-05-30 → 2015-01-15
  Securities America Advisors, Inc.
  Denver, CO
• 2007-01-08 → 2007-05-30
  Zions Capital Advisors, Inc.
  Salt Lake City, UT
• 2006-09-07 → 2006-12-31
  Zions Direct, Inc.
  Greenwood Village, CO
• 2005-10-25 → 2006-09-12
  U.S. Bancorp Investments, Inc.
  Littleton, CO
  Highlands Ranch, CO
  Highlands Ranch, CO
  Lone Tree, CO
  Lone Tree, CO
• 2004-08-12 → 2005-08-08
  First Horizon Advisors, Inc.
  Englewood, CO
• 2003-12-04 → 2004-06-23
  Wells Fargo Investments, Llc
  Houston, TX
• 2002-04-10 → 2003-12-10
  Chase Investment Services Corp.
  Dallas, TX

Exams

• S65 Uniform Investment Adviser Law Examination
  2012-09-06
• S63 Uniform Securities Agent State Law Examination
  1996-06-28

Other Names

• Joe Rossi
• Joseph Robert Rossi
• Joseph Rossi