Career
Nicholas Graham has been Vice President & Chief Compliance Officer of Nationwide Fund Advisors since December 2025. Nicholas Graham is a control person of the firm and directly owns under 5% of it.
Nationwide Fund Advisors is a Columbus, OH firm with $83.1B under management, 129 clients and 22 advisers in one office, as of its February 2026 filing.
- Nationwide Investment Advisors, LLC– · 8 yearsColumbus, OH · Adviser representative · Firm CRD 142373
- Nationwide Securities, LLC– · 4 yearsColumbus, OH · Adviser representative · Firm CRD 11173
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 11 January 2012 |
| Series 4 | Registered Options Principal Examination | 28 April 2009 |
| Series 53 | Municipal Securities Principal Examination | 6 November 2006 |
| Series 24 | General Securities Principal Examination | 13 December 2005 |
| Series 7 | General Securities Representative Examination | 21 April 2004 |
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Registered Options Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Nicholas Teachnor Graham
- CRD
- 4759764
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Nicholas Graham work?
Nicholas Graham has been Vice President & Chief Compliance Officer of Nationwide Fund Advisors since December 2025, and is a control person of the firm.
Does Nicholas Graham have a current investment-adviser registration?
Nicholas Graham has a current broker registration and no current investment-adviser registration.
What exams has Nicholas Graham passed?
Nicholas Graham has passed 6 licensing exams: the Series 7, Series 24, Series 53, Series 4, Series 66 and Series 52TO. The earliest, the Series 7, was passed in April 2004. FINRA credited Nicholas Graham with the SIE, which began in October 2018.
Where was Nicholas Graham previously registered as an investment adviser?
Nicholas Graham has past investment-adviser registrations through Nationwide Investment Advisors, LLC, March 2016 to August 2024; Nationwide Securities, LLC, March 2012 to March 2016, across 2 firms.