James R. Hawley
Professional summary
James Robert Hawley is a registered financial professional currently at NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.
James is registered as a RR (Registered Representative) and started their career in finance in 1994. James has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Robert Hawley's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 19, 2004 - Present
NATIONWIDE INVESTMENT SERVICES CORPORATION
Office #1: One Nationwide Plaza, Columbus, OH 43215November 12, 1998 - November 1, 2004
GLOBAL ATLANTIC DISTRIBUTORS, LLC
February 28, 1994 - October 21, 1998
TOWER SQUARE 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
(11/19/2004)
(11/12/2007)
(11/13/2007)
(3/16/2006)
Exams
FINRA
Current Firm
NATIONWIDE INVESTMENT SERVICES CORPORATION
CRD#: 7110 / SEC#: , 8-20254
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONWIDE LIFE INSURANCE COMPANY | SHAREHOLDER | |
| AMBROZY, TINA S | PRESIDENT/BOARD DIRECTOR | 3149224 |
| HAWLEY, CRAIG ALAN | BOARD DIRECTOR | 4499105 |
| RABENSTINE, JAMES JAY | CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD DIRECTOR | 5250338 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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