William J. Barnes
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.
William James Barnes, who also goes by William J Barnes, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1997. William had worked at 6 firms and has passed the Series 66, Series 63, SIE 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
December 5, 2006 - November 16, 2017
NATIONWIDE INVESTMENT ADVISORS, LLC
June 9, 2006 - December 5, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
May 6, 2002 - November 16, 2017
NATIONWIDE INVESTMENT SERVICES CORPORATION
November 7, 2001 - February 25, 2002
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 10, 2001 - November 5, 2001
FORESTERS EQUITY SERVICES, INC.
July 3, 2001 - September 12, 2001
WADDELL & REED
June 6, 2001 - June 28, 2001
FORESTERS EQUITY SERVICES, INC.
April 3, 2000 - May 14, 2001
CHARLES SCHWAB & CO., INC.
November 4, 1999 - March 31, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
August 28, 1997 - October 27, 1999
EDWARD JONES
Primary Firm SEC Registration
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
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 ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 270,365 |
| AUM (Assets Under Management) | $ 15,686,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 01/26/2024 | ||
| 10/26/2022 |
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.
