James E. Andrews
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.
James Ellis Andrews, who also goes by Jim Andrews, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1978. James had worked at 13 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2010 - February 17, 2012
NATIONWIDE INVESTMENT SERVICES CORPORATION
December 2, 2009 - July 1, 2010
LD LOWE WEALTH ADVISORY
January 18, 2008 - November 9, 2009
FIRST INDEPENDENT ADVISORY SERVICES, INC.
December 6, 2007 - November 9, 2009
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
June 15, 2000 - December 5, 2007
PACIFIC SELECT DISTRIBUTORS, LLC
February 12, 1999 - January 28, 2000
CONSECO EQUITY SALES, INC.
November 29, 1995 - December 31, 1997
LOCUST STREET SECURITIES, INC.
July 9, 1991 - December 13, 1993
NEW ENGLAND SECURITIES
May 30, 1990 - December 14, 1990
ALLIED GROUP SECURITIES CORPORATION
October 18, 1988 - March 14, 1990
SECURIAN FINANCIAL SERVICES, INC.
October 18, 1988 - May 21, 1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 14, 1987 - December 31, 1989
SIGNATOR INVESTORS, INC.
July 21, 1978 - December 18, 1985
N.I.S. FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 7/14/1978
Registered Representative ExaminationCurrent 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
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.
