James M. Henretta

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CRD#: 1038036

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.

James Miles Henretta, who also goes by Jim Henretta, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1983. James had worked at 9 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Henretta

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 26, 2018 - January 22, 2019

NATIONWIDE SECURITIES, LLC

CRD#: 11173

CHESTERLAND, OH

Past

January 12, 2017 - December 31, 2017

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

LYNDHURST, OH

Past

January 12, 2017 - November 2, 2018

CETERA WEALTH SERVICES, LLC

CRD#: 13572

LYNDHURST, OH

Past

May 28, 2004 - April 18, 2018

JAMES M. HENRETTA CLU, CHFC, & ASSOCIATES FINANCIAL SERVICES

RIA

CRD#: 119871

LYNDHURST, OH

Past

January 1, 2004 - December 31, 2016

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

LYNDHURST, OH

Past

May 27, 1999 - January 1, 2004

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

October 20, 1983 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

October 20, 1983 - May 24, 1999

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

May 13, 1983 - October 4, 1983

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

Past

May 13, 1983 - October 4, 1983

PRUCO SECURITIES, LLC.

CRD#: 5685

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NATIONWIDE SECURITIES, LLC

NATIONWIDE ADVISORY SERVICES, INC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, LLC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, INC. | NATIONWIDE SECURITIES, LLC | NATIONWIDE SECURITIES, INC. | NATIONWIDE ADVISORY SERVICES, INC.

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA

Registered Investment Advisory firm - SEC (7/9/2008 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/29/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 7/31/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 4/30/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NATIONWIDE SECURITIES, LLC

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA

Registered Investment Advisory firm - SEC (7/9/2008 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

One Nationwide Plaza Mailing Code: 01-17-402, Columbus, OH 43215

Mailing Address

One Nationwide Plaza 1-33-401, Columbus, OH 43215

Phone number

(888) 753-7364

Established

Delaware since 10/09/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NSLLC FORM ADV PART 2A BROCHURE (7/8/2025)

Direct owners and executive officers

Name	Position	CRD#
NFS DISTRIBUTORS, INC.	MANAGING MEMBER
ANIANO, JOSEPH NICHOLAS	PRESIDENT	4303290
GINNAN, STEVEN A.	BOARD MANAGER	6984613
JESTICE, KEVIN THOMAS	BOARD MANAGER	5363377
RABENSTINE, JAMES JAY	VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	2025566
ROSWELL, EWAN THEODORE	AVP, FINANCE CONTROLLERSHIP-NF AND FINOP	3056545
STEVENSON, ERIC RAY	BOARD MANAGER	5250338

Disclosures

Regulatory Event	10
Arbitration	3

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.

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Firm Stability Insights

James M. Henretta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

JAMES M. HENRETTA CLU, CHFC, & ASSOCIATES FINANCIAL SERVICES

VOYA FINANCIAL ADVISORS, INC.

LOCUST STREET SECURITIES, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

NATIONWIDE SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/29/2009

SIE

Date: 10/1/2018

Series 22

Date: 7/31/1984

Series 6

Date: 4/30/1983

Current Firm

NATIONWIDE SECURITIES, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NATIONWIDE SECURITIES, LLC

TRUST BUT VERIFY

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