Dean C. Anast

NI ADVISORS

BREWSTER, KS

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CRD#: 1453479

Professional summary

Dean Constantine Bruno Anast, who also goes by Dean Bruno Anast, Dean Constantine Anast, is a registered financial advisor currently at NI ADVISORS located in Brewster, Kansas.

Dean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Dean has worked at 10 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dean Bruno Anast | Dean Constantine Anast

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

THE PETRA GROUP, INC. NON-INVESTMENT-RELATED. 6465 GREENWOOD PLAZA BLVD., SUITE 1025, GREENWOOD VILLAGE, CO 80111. 1) MORTGAGE FINANCING & MORTGAGES, FORWARD & REVERSE, LOAN ORIGINATOR (CO Lic #100010328); 2) LIFE & HEALTH INSURANCE; 3) SECONDARY ANNUITIES; & 4) PRECIOUS METALS SALES. PRESIDENT, FOUNDER, & OWNER. SINCE OCTOBER 1987. APPROXIMATE 5-10 HOURS/MONTH. 0-4 HOURS/MONTH DURING NAI BUSINESS HOURS.MANAGEMENT & SALES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dean Constantine Bruno Anast's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Dean Constantine Bruno Anast's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 29, 2022 - Present

NI ADVISORS

RIA

CRD#: 134502

BREWSTER, KS

Current

January 3, 2022 - Present

NI ADVISORS

Office #1: 1138 Cadillac Court, Milpitas, CA 95035Office #2: 1138 Cadillac Court, Milpitas, CA 95035-3058

RIA

CRD#: 134502

MILPITAS, CA

Past

September 23, 2013 - January 11, 2018

FIRESTONE CAPITAL ADVISORS INC.

RIA

CRD#: 132814

LITTLETON, CO

Past

August 3, 2009 - December 21, 2021

PROFESSIONAL BROKER-DEALER FINANCIAL PLANNING, INC.

RIA

CRD#: 23651

CASTLE ROCK, CO

Past

August 3, 2009 - December 21, 2021

PROFESSIONAL BROKER-DEALER FINANCIAL PLANNING, INC.

CRD#: 23651

CASTLE ROCK, CO

Past

June 6, 2007 - August 3, 2009

QA3 FINANCIAL LLC

RIA

CRD#: 104957

FIRESTONE, CO

Past

June 4, 2007 - August 3, 2009

QA3 FINANCIAL CORP.

CRD#: 14754

FIRESTON, CO

Past

June 19, 2006 - May 31, 2007

SUNSET FINANCIAL SERVICES, INC.

RIA

CRD#: 3538

WESTMINSTER, CO

Past

January 10, 2006 - May 31, 2007

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

WESTMINSTER, CO

Past

January 13, 2005 - December 31, 2005

CONTEMPORARY FINANCIAL SOLUTIONS, INC.

CRD#: 121699

LITTLETON, CO

Past

April 4, 2002 - January 14, 2005

MUTUAL SERVICE CORPORATION

RIA

CRD#: 4806

LITTLETON, CO

Past

May 20, 1999 - January 14, 2005

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

March 18, 1999 - June 8, 1999

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

October 27, 1998 - January 13, 1999

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

February 12, 1986 - September 30, 1998

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(2/4/2022)

IAR

Colorado
(7/29/2022)

Kansas
(1/13/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 11/2/1999

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/3/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/18/1986

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NI ADVISORS

CRD#: 134502 / SEC#: , 8-66841

California

Registered Investment Advisory firm - SEC (5/23/2012 Approved)

Colorado

Registered Investment Advisory firm - SEC (7/29/2022 Approved)

Florida

Registered Investment Advisory firm - SEC (4/9/2024 Approved)

Massachusetts

Registered Investment Advisory firm - SEC (1/4/2023 Approved)

New Jersey

Registered Investment Advisory firm - SEC (1/11/2023 Approved)

Rhode Island

Registered Investment Advisory firm - SEC (2/11/2022 Approved)

Texas

Registered Investment Advisory firm - SEC (2/25/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

1138 Cadillac Court, Milpitas, CA 95035-3058

Mailing Address

1138 Cadillac Court, Milpitas, CA 95035

Phone number

(510) 306-7777

Established

California since 01/01/2005

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (34 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
GOY, SUIHOCK	PRESIDENT, CFO, DIRECTOR, CHIEF COMPLIANCE OFFICER	2821380
POSTREL, HELENE BERSON	FINOP	2240945

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 3,560,000

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Dean C. Anast

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dean Constantine Bruno Anast's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Dean Constantine Bruno Anast's CRS (Customer Relationship Summary).

Certified licenses

Experience

NI ADVISORS

FIRESTONE CAPITAL ADVISORS INC.

PROFESSIONAL BROKER-DEALER FINANCIAL PLANNING, INC.

PROFESSIONAL BROKER-DEALER FINANCIAL PLANNING, INC.

QA3 FINANCIAL LLC

QA3 FINANCIAL CORP.

SUNSET FINANCIAL SERVICES, INC.

SUNSET FINANCIAL SERVICES, INC.

CONTEMPORARY FINANCIAL SOLUTIONS, INC.

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

CETERA ADVISORS LLC

VERAVEST INVESTMENTS, INC.

VERAVEST INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/2/1999

Series 65

Date: 11/3/1997

SIE

Date: 10/1/2018

Series 7

Date: 1/18/1986

FINRA

Current Firm

NI ADVISORS

Contact information

FINRA licenses (34 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

NI ADVISORS

TRUST BUT VERIFY

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