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PB

Patrick G. Ballard

Some features on this profile are disabled
CRD#: 4098722
PB

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.

Patrick Glynn Ballard, who also goes by Patrick G Ballard, was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 2000. Patrick had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patrick G Ballard

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 13, 2022 - May 6, 2026

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA
CRD#: 142373
COLUMBUS, OH
Past

May 12, 2022 - May 6, 2026

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

January 23, 2018 - June 30, 2020

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
SEYMOUR, IN
Past

January 18, 2018 - June 30, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
SEYMOUR, IN
Past

December 12, 2016 - January 18, 2018

INVEST FINANCIAL CORPORATION

RIA
CRD#: 12984
COLUMBUS, IN
Past

December 12, 2016 - January 18, 2018

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
COLUMBUS, IN
Past

August 21, 2009 - August 30, 2016

CUNA BROKERAGE SERVICES, INC.

RIA
CRD#: 13941
SEYMOUR, IN
Past

August 21, 2009 - August 30, 2016

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
SEYMOUR, IN
Past

April 3, 2006 - August 17, 2009

NATCITY INVESTMENTS, INC.

RIA
CRD#: 17490
COLUMBUS, IN
Past

April 3, 2006 - August 17, 2009

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
COLUMBUS, IN
Past

February 24, 2003 - November 14, 2005

NATCITY INVESTMENTS, INC.

RIA
CRD#: 17490
INDIANAPOLIS, IN
Past

February 24, 2003 - November 14, 2005

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
CLEVELAND, OH
Past

April 7, 2000 - February 25, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA
CRD#: 7471
INDIANAPOLIS, IN
Past

February 2, 2000 - February 25, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/13/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/4/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/1/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/1/2004
General Securities Principal Examination

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)
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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)

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#: 142373

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