Brian N. Sly
Professional summary
Brian Nelson Sly, who also goes by Brian Sly, is a registered financial advisor currently at BRIAN SLY AND COMPANY located in Meadow Vista, California.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Brian has worked at 5 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Brian Nelson Sly's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 20, 2010 - Present
BRIAN SLY AND COMPANY
June 21, 1994 - October 19, 1995
TRANSGLOBAL INVESTMENTS INC.
July 6, 1990 - June 7, 1994
PRUDENTIAL EQUITY GROUP, LLC
July 11, 1988 - July 30, 1990
LEHMAN BROTHERS INC.
November 29, 1983 - July 19, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/20/2010)
Exams
Current Firm
BRIAN SLY AND COMPANY
CRD#: 111396 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 1,890,199 |
Red Flags
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