James Brennan

NATIONWIDE INVESTMENT ADVISORS

COLUMBUS, OH 43215

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CRD#: 5261828

Professional summary

James Brennan, who also goes by James Andrew Brennan, is a registered financial advisor currently at NATIONWIDE INVESTMENT ADVISORS, LLC located in Columbus, Ohio and NATIONWIDE INVESTMENT SERVICES CORPORATION located in Columbus, Ohio.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. James has worked at 7 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Andrew Brennan

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.

--Position: Board Member Company/Employer: Let Me Run Location: Charlotte, NC Start Date: 09/01/2022 Hours Devoted Monthly: 2 Hours During Trading Hours: 0 Investment Related: No

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Brennan'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

September 30, 2024 - Present

NATIONWIDE INVESTMENT ADVISORS, LLC

Office #1: One Nationwide Plaza 03-07-202, Columbus, OH 43215

RIA

CRD#: 142373

COLUMBUS, OH

Current

September 30, 2024 - Present

NATIONWIDE INVESTMENT SERVICES CORPORATION

Office #1: One Nationwide Plaza, Columbus, OH 43215

CRD#: 7110

Columbus, OH

Past

March 11, 2022 - September 24, 2024

MORGAN STANLEY

RIA

CRD#: 149777

Washington, DC

Past

March 9, 2022 - September 24, 2024

MORGAN STANLEY

CRD#: 149777

Washington, DC

Past

July 30, 2018 - March 7, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

RESTON, VA

Past

July 20, 2018 - March 7, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

RESTON, VA

Past

September 4, 2012 - July 6, 2018

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

DENVER, CO

Past

October 7, 2011 - August 17, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ALEXANDRIA, VA

Past

September 30, 2011 - August 17, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ALEXANDRIA, VA

Past

January 5, 2009 - March 30, 2010

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

VIENNA, VA

Past

January 5, 2009 - March 30, 2010

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

VIENNA, VA

Past

January 31, 2008 - January 2, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WASHINGTON, DC

Past

December 19, 2007 - January 2, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WASHINGTON, DC

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".

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.

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
(9/30/2024)

Virginia
(9/30/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/27/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/23/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/18/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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 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	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.

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Advisor Monitoring

Firm Stability Insights

James Brennan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Brennan's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE INVESTMENT SERVICES CORPORATION

MORGAN STANLEY

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

NATIONWIDE INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/27/2018

Series 66

Date: 1/23/2008

SIE

Date: 10/1/2018

Series 7

Date: 12/18/2007

FINRA

Current Firm

NATIONWIDE INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NATIONWIDE INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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