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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

James Brennan

Advisor at NATIONWIDE INVESTMENT ADVISORS, LLC

COLUMBUS, OH

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Search this name across graphsid dfx:ria:34a86858-e0ce-83bb-4ca9-1aac067c6fd0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jan 31, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NATIONWIDE INVESTMENT ADVISORS, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 23, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66|S65
First exam: Jan 23, 2008
First registration: Jan 31, 2008
Dual registered: yes, broker-dealer
Other names: JAMES ANDREW BRENNAN
IAPD individual key: 5261828

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NATIONWIDE INVESTMENT ADVISORS, LLC	Bd affiliated wealth	Sep 30, 2024	n/a	yes	COLUMBUS, OH	Current employment
MORGAN STANLEY	Wirehouse	Mar 11, 2022	Sep 24, 2024	no	Washington, DC	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 30, 2018	Mar 7, 2022	no	BETHESDA, MD\|NEW YORK, NY\|WAYZATA, MN\|RESTON, VA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 30, 2011	Aug 17, 2012	no	ALEXANDRIA, VA	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	Jan 5, 2009	Mar 30, 2010	no	VIENNA, VA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 31, 2008	Jan 2, 2009	no	WASHINGTON, DC\|COLUMBIA, MD	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	NATIONWIDE INVESTMENT ADVISORS, LLC	Sep 24, 2024	Sep 30, 2024	6	Firm change	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Mar 7, 2022	Mar 11, 2022	4	Firm change	Wirehouse to wirehouse
NFP ADVISOR SERVICES, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 30, 2010	Sep 30, 2011	549	Firm change after gap	Other
WELLS FARGO ADVISORS	NFP ADVISOR SERVICES, LLC	Jan 2, 2009	Jan 5, 2009	3	Firm change	Other

Relationships

Registered with (5)

→ NATIONWIDE INVESTMENT ADVISORS, LLCRegistered adviserregistration: current employment
Sep 30, 2024 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Mar 11, 2022 to Sep 24, 2024factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 30, 2018 to Mar 7, 2022factForm ADV
→ NFP ADVISOR SERVICES, LLCRegistered adviserregistration: previous registration
Jan 5, 2009 to Mar 30, 2010factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 31, 2008 to Jan 2, 2009factForm ADV

Dated events

Occurred
Sep 24, 2024
Advisor changed firm
James Brennan left Morgan Stanley for Nationwide Investment Advisors, Llc (registered 2024-09-30)
Form ADVobserved 5 days ago
Occurred
Mar 7, 2022
Advisor changed firm
James Brennan left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Morgan Stanley (registered 2022-03-11)
Form ADVobserved 5 days ago