AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JG

Jose E. Garza

NATIONWIDE INVESTMENT ADVISORS
COLUMBUS, OH 43215
Some features on this profile are disabled
CRD#: 3172270
JG

Professional summary

Jose Ernesto Garza JR, who also goes by Jose E. Garza Jr, is a registered financial advisor currently at NATIONWIDE INVESTMENT ADVISORS, LLC located in Columbus, Ohio and NATIONWIDE INVESTMENT SERVICES CORPORATION located in Georgetown, Texas.

Jose is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Jose has worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jose E. Garza Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jose Ernesto Garza JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 14, 2017 - Present

NATIONWIDE INVESTMENT ADVISORS, LLC

Office #1: One Nationwide Plaza 03-07-202, Columbus, OH 43215
RIA
CRD#: 142373
COLUMBUS, OH
Current

April 19, 2016 - Present

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
GEORGETOWN, TX
Past

November 28, 2012 - June 29, 2015

FROST BROKERAGE SERVICES, INC.

BD
CRD#: 17465
SAN ANTONIO, TX
Past

March 25, 2009 - December 31, 2011

CLARK INVESTMENT STRATEGIES, INC.

RIA
CRD#: 145853
DALLAS, TX
Past

March 6, 2009 - January 3, 2012

CLARK SECURITIES, INC.

BD
CRD#: 43803
DALLAS, TX
Past

September 7, 2007 - January 20, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
DALLAS, TX
Past

September 7, 2007 - January 20, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
DALLAS, TX
Past

November 19, 2004 - September 26, 2007

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
SAN ANTONIO, TX
Past

November 19, 2004 - September 26, 2007

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
SAN ANTONIO, TX
Past

May 29, 2003 - July 13, 2004

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
SAN ANTONIO, TX
Past

May 29, 2003 - July 13, 2004

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

February 1, 2002 - December 17, 2002

E*TRADE ADVISORY SERVICES, INC.

RIA
CRD#: 111178
HOUSTON, TX
Past

October 19, 2001 - November 11, 2002

E*TRADE SECURITIES LLC

BD
CRD#: 29106
JERSEY CITY, NJ
Past

March 12, 1999 - September 20, 2000

USAA INVESTMENT SERVICES COMPANY

BD
CRD#: 5475
SAN ANTONIO, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NI
NATIONWIDE INVESTMENT ADVISORS, LLC
NATIONWIDE INVESTMENT ADVISORS, LLC

CRD#: 142373 / SEC#: 801-52664

RIA
Registered Investment Advisory firm - (8/30/1996 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR
Ohio
(2/14/2017)
RR
Texas
(4/19/2016)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/13/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/29/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/11/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/25/2008
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/21/2008
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/1/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NI
NATIONWIDE INVESTMENT ADVISORS, LLC
NATIONWIDE INVESTMENT ADVISORS, LLC

CRD#: 142373 / SEC#: 801-52664

RIA
Registered Investment Advisory firm - (8/30/1996 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
One Nationwide Plaza 03-07-202, Columbus, OH 43215
Mailing Address
Phone number
(614) 435-8371
Established
Firm type
Fiscal year end
# of Employees
417

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NIA FORM ADV PART 2A BROCHURE (7/8/2025)

Regulatory assets under management

Total Number of Accounts270,365
AUM (Assets Under Management)$ 15,686,000,000

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/25/2024
Cover Page
Report
01/26/2024
Cover Page
Report
10/26/2022
Cover Page
Report

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.

Company Information

NATIONWIDE INVESTMENT ADVISORS, LLC

CRD#: 142373Columbus, OH 43215

TRUST BUT VERIFY

Monitor Jose Garza

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Andrew James Lehman
Andrew LehmanAdvisorCheck Check Mark
INSPIRE ADVISORS, LLC
IAR
Columbus, OH
JB
James BowmanAdvisorCheck Check Mark
JANNEY MONTGOMERY SCOTT LLC
IAR
RR
Columbus (grandview), OH
CA
Cody AndersonAdvisorCheck Check Mark
J.P. MORGAN SECURITIES LLC
IAR
RR
UPPER ARLINGTON, OH
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.