Brian M. Loy
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.
Brian Matthew Loy, CFP® was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1982. Brian had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1986
Experience
September 28, 2023 - June 30, 2026
WEALTHSPIRE ADVISORS
January 27, 2004 - September 1, 2023
WEALTHSPIRE ADVISORS
July 31, 1993 - April 6, 1994
CITIGROUP GLOBAL MARKETS INC.
May 15, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
September 24, 1982 - July 11, 1991
EQUITEC SECURITIES COMPANY
Primary Firm SEC Registration
WEALTHSPIRE ADVISORS
CRD#: 106181 / SEC#: 801-49390
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
Current Firm
WEALTHSPIRE ADVISORS
CRD#: 106181 / SEC#: 801-49390
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 8,760 |
| AUM (Assets Under Management) | $ 25,786,873,286 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/17/2025 | ||
| 08/29/2024 | ||
| 06/28/2023 |
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.
