John C. Hardy
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.
John Ceteria Hardy was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2015 - July 1, 2021
NATIONWIDE INVESTMENT SERVICES CORPORATION
February 9, 2011 - November 3, 2015
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
November 12, 2010 - January 20, 2011
CAPITAL BROKERAGE CORPORATION
July 18, 2006 - October 5, 2010
EQUITABLE DISTRIBUTORS, LLC
January 10, 2006 - July 17, 2006
COREBRIDGE CAPITAL SERVICES, INC.
March 31, 2003 - January 11, 2006
CITIGROUP GLOBAL MARKETS INC.
July 29, 2002 - January 11, 2006
CITIGROUP GLOBAL MARKETS INC.
November 10, 1994 - July 29, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 27, 1994 - October 4, 1994
J.P. MORGAN SECURITIES LLC
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 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
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.
