JL
Judy L. Loy
NESTLERODE & LOY
State College, PA 16801
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CRD#: 2249019
JL
Professional summary
Judy Lynne Loy, ChFC®, who also goes by Judy Lynne Yeager, is a registered financial advisor currently at NESTLERODE & LOY, INC. located in State College, Pennsylvania.
Judy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Judy has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 62, Series 6, Series 24 and Series 28 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Judy Lynne Yeager
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 advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Judy Lynne Loy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Judy Lynne Loy's 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®
Experience
Current
May 15, 2012 - Present
NESTLERODE & LOY, INC.
Office #1: 110 Regent Court Suite 202, State College, PA 16801Office #2: 110 Regent Court, Suite 202, State College, PA 16801RIA
BD
CRD#: 2907
State College, PA
Current
November 25, 1992 - Present
NESTLERODE & LOY, INC.
Office #1: 110 Regent Court Suite 202, State College, PA 16801Office #2: 110 Regent Court Suite 202, State College, PA 16801RIA
BD
CRD#: 2907
State College, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NESTLERODE & LOY, INC.
DISCOUNT BROKERAGE OF PENNSYLVANIA | WWW.NESTLERODE.COM | NESTLERODE & LOY, INC. | NESTLERODE & COMPANY, INC. | NESTLERODE & CO., INC. | NESTLERODE & CO INC
CRD#: 2907 / SEC#: 801-112333, 8-12629
RIA
Registered Investment Advisory firm - SEC (1/19/2018 Approved)Pennsylvania
Registered Investment Advisory firm - SEC (1/26/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
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
RR
California(12/8/2005)
RR
Florida(9/4/1998)
RR
Maryland(1/4/2023)
RR
New Hampshire(12/1/2017)
RR
New York(5/5/1998)
RR
Pennsylvania(11/25/1992)
IAR
Pennsylvania(5/15/2012)
RR
Texas(2/10/2024)
RR
Virginia(9/26/2003)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 5/8/1995
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 7/22/1994
Introducing Broker/Dealer Financial Operations Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
NESTLERODE & LOY, INC.
DISCOUNT BROKERAGE OF PENNSYLVANIA | WWW.NESTLERODE.COM | NESTLERODE & LOY, INC. | NESTLERODE & COMPANY, INC. | NESTLERODE & CO., INC. | NESTLERODE & CO INC
CRD#: 2907 / SEC#: 801-112333, 8-12629
RIA
Registered Investment Advisory firm - SEC (1/19/2018 Approved)Pennsylvania
Registered Investment Advisory firm - SEC (1/26/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
110 Regent Court Suite 202, State College, PA 16801
Mailing Address
P.o. Box 343, State College, PA 16804-0343
Phone number
(814) 238-6249
Established
Pennsylvania since 09/17/1965
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
4
SEC notice filing (5 States and Territories)
FINRA licenses (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 612 |
| AUM (Assets Under Management) | $ 199,064,720 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NESTLERODE & LOY, INC.
CRD#: 2907State College, PA 16801TRUST BUT VERIFY
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Contact information
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