Jerry A. Barker
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.
Jerry Allen Barker JR, who also goes by J.a. Barker, Jay Barker, was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 2002. Jerry had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2012 - April 2, 2015
NATIONWIDE SECURITIES, LLC
October 18, 2012 - April 2, 2015
NATIONWIDE SECURITIES, LLC
January 31, 2012 - September 27, 2012
STATE FARM VP MANAGEMENT CORP.
November 27, 2007 - January 28, 2011
CHASE INVESTMENT SERVICES CORP.
October 11, 2007 - January 28, 2011
CHASE INVESTMENT SERVICES CORP.
January 24, 2007 - July 16, 2007
EDWARD JONES
October 27, 2004 - July 16, 2007
EDWARD JONES
February 4, 2002 - October 18, 2004
THE HUNTINGTON INVESTMENT COMPANY
Primary Firm SEC Registration
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
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
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
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.
