James C. Lacy
Professional summary
James Christian Lacy III, who also goes by Chris Lacy, James Christian Lacy III, 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 2005. James has worked at 4 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 Christian Lacy III's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 14, 2025 - Present
NATIONWIDE INVESTMENT SERVICES CORPORATION
Office #1: One Nationwide Plaza, Columbus, OH 43215May 3, 2023 - August 4, 2023
THE LEADERS GROUP, INC.
February 14, 2019 - May 8, 2023
MUTUAL OF AMERICA SECURITIES LLC
April 18, 2005 - November 16, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/14/2025)
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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