James B. Nonnengard
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 Blain Nonnengard, who also goes by Jim Nonnengard, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2013 - March 31, 2025
CETERA INVESTMENT SERVICES LLC
December 5, 2007 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
January 10, 2007 - November 28, 2007
COLONIAL BROKERAGE, INC.
November 15, 2004 - January 12, 2007
AMSOUTH INVESTMENT SERVICES, INC.
August 3, 1998 - April 12, 2000
IFMG SECURITIES, INC.
December 12, 1997 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
September 8, 1997 - November 15, 2004
SOUTHTRUST SECURITIES, LLC
March 24, 1995 - September 8, 1997
AMSOUTH INVESTMENT SERVICES, INC.
October 25, 1994 - March 28, 1995
VICTORY CAPITAL SERVICES, INC.
April 20, 1994 - August 19, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
October 19, 1990 - April 19, 1994
CAPITAL BROKERAGE CORPORATION
June 10, 1983 - October 29, 1990
EMPIRE NATIONAL SECURITIES, INCORPORATED
October 22, 1982 - November 9, 1982
FIRST JERSEY SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| 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.
