Brian G. Lancaster

CLAYTON PARTNERS LLC

Berkeley, CA 94705

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CRD#: 2636780

Professional summary

Brian Guy Lancaster is a registered financial advisor currently at CLAYTON PARTNERS LLC located in Berkeley, California.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Brian has worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Guy Lancaster'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

January 10, 2011 - Present

CLAYTON PARTNERS LLC

Office #1: 3160 College Avenue Suite 203, Berkeley, CA 94705

RIA

CRD#: 127546

Berkeley, CA

Past

July 31, 2003 - April 12, 2008

CLAYTON PARTNERS LLC

RIA

CRD#: 127546

OAKLAND, CA

Past

October 1, 1997 - May 15, 2003

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

July 19, 1995 - October 1, 1997

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

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".

CLAYTON PARTNERS LLC

CASTLE PEAK ASSET MANAGEMENT | JASON STANKOWSKI | CLAYTON PARTNERS LLC | CLAYTON PARTNERS | CASTLE PEAK ASSET MANAGEMENT, LLC

CRD#: 127546 / SEC#: 801-85190

RIA

Registered Investment Advisory firm - (4/8/2015 Approved)

California

Registered Investment Advisory firm - (8/15/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(1/10/2011)

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.

Exams

State Security Law Exam

Series 63

Date: 8/7/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/18/1995

General Securities Representative Examination

Current Firm

CLAYTON PARTNERS LLC

CASTLE PEAK ASSET MANAGEMENT | JASON STANKOWSKI | CLAYTON PARTNERS LLC | CLAYTON PARTNERS | CASTLE PEAK ASSET MANAGEMENT, LLC

CRD#: 127546 / SEC#: 801-85190

RIA

Registered Investment Advisory firm - (4/8/2015 Approved)

California

Registered Investment Advisory firm - (8/15/2015 Terminated)

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Contact information

Main Address

3160 College Avenue Suite 203, Berkeley, CA 94705

Mailing Address

Phone number

(415) 296-5070

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	88
AUM (Assets Under Management)	$ 169,355,250

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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Brian G. Lancaster

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Guy Lancaster's CRS (Customer Relationship Summary).

Certified licenses

Experience

CLAYTON PARTNERS LLC

CLAYTON PARTNERS LLC

BANC OF AMERICA SECURITIES LLC

MONTGOMERY SECURITIES

Primary Firm SEC Registration

CLAYTON PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/7/1995

Series 7

Date: 7/18/1995

Current Firm

CLAYTON PARTNERS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLAYTON PARTNERS LLC

TRUST BUT VERIFY

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