James I. Margard
Professional summary
James Isaac Margard is a registered financial professional currently at NATIONWIDE INVESTMENT SERVICES CORPORATION located in Grandview Heights, Ohio.
James is registered as a RR (Registered Representative) and started their career in finance in 2021. James has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Isaac Margard's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 16, 2023 - Present
NATIONWIDE INVESTMENT SERVICES CORPORATION
Office #1: 1000 Yard Street H Building, Grandview Heights, OH 43212June 15, 2021 - June 14, 2022
PRUCO SECURITIES, LLC.
February 1, 2021 - June 14, 2022
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/8/2024)
Exams
Series 7TO
Date: 2/1/2021
General Securities Representative ExaminationFINRA
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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