James Brennan is a registered investment advisor, based in Columbus, OH, with 16 years of industry experience.
Location
One Nationwide Plaza, 03-07-202, Columbus, OH, 43215
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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James is a board member for Let Me Run in Charlotte, NC, since September 2022. He dedicates minimal time to this non-investment related activity.
Employment History
Current Registrations
Nationwide Investment Advisors, LLC
September 2024 - Present · 1 yr 10 mos
Nationwide Investment Services CorporationBroker
September 2024 - Present · 1 yr 10 mos
Previous Registrations
Morgan Stanley
March 2022 - September 2024 · 2 yrs 6 mos
Morgan StanleyBroker
March 2022 - September 2024 · 2 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 2018 - March 2022 · 3 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2018 - March 2022 · 3 yrs 8 mos
Jackson National Life Distributors LLCBroker
September 2012 - July 2018 · 5 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2011 - August 2012 · 10 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
September 2011 - August 2012 · 11 mos
NFP Securities, INC.
January 2009 - March 2010 · 1 yr 2 mos
NFP Securities, INC.Broker
January 2009 - March 2010 · 1 yr 2 mos
Wachovia Securities, LLC
January 2008 - January 2009 · 1 yr
Wachovia Securities, LLCBroker
December 2007 - January 2009 · 1 yr 1 mo
State Registrations2 states
OHVA
AdvisorBroker
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.