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Jose Ernesto Garza

Nationwide Investment Advisors, LLC

Columbus, OH

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Current Employers
Nationwide Investment Advisors, Llc

One Nationwide Plaza 03-07-202, Columbus, OH 43215 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2017-02-14
  • OH RA
    APPROVED
    Since 2017-02-14

Branch Locations

One Nationwide Plaza 03-07-202, Columbus, OH 43215 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Nationwide Investment Services Corporation Austin TX 03/2016 Present
  • 03/2016 → Present
    Nationwide Investment Services Corporation
    Austin, TX
Previous Registrations
  • 2009-03-25 → 2011-12-31
    Clark Investment Strategies, Inc.
    Dallas, TX
  • 2007-09-07 → 2009-01-20
    Banc Of America Investment Services, Inc.
    Dallas, TX
    Dallas, TX
    Boston, MA
  • 2004-11-19 → 2007-09-26
    Chase Investment Services Corp.
    San Antonio, TX
    San Antonio, TX
  • 2003-05-29 → 2004-07-13
    Mml Investors Services, Llc
    San Antonio, TX
  • 2002-02-01 → 2002-12-17
    E*Trade Advisory Services, Inc.
    Houston, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-02-13
S63 Uniform Securities Agent State Law Examination 1999-03-29
  • S65 Uniform Investment Adviser Law Examination
    2017-02-13
  • S63 Uniform Securities Agent State Law Examination
    1999-03-29
Other Names
  • Jose Ernesto Garza
  • Jose Ernesto Garza
  • Jose E. Garza

View on SEC IAPD

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