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BS

Brian N. Scala

ROBERTS & RYAN
New York, NY 10006-3003
Some features on this profile are disabled
CRD#: 2814478
BS

Professional summary

Brian Nmn Scala, who also goes by Brian Scala, is a registered financial professional currently at ROBERTS & RYAN, INC. located in New York, New York.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2000. Brian has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 25, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brian Scala

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) - BD

Click below to view Brian Nmn Scala'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

February 1, 2023 - Present

ROBERTS & RYAN, INC.

Office #1: 39 Broadway Ste 610, New York, NY 10006-3003
BD
CRD#: 19456
New York, NY
Past

February 1, 2019 - December 19, 2022

DREXEL HAMILTON, LLC

BD
CRD#: 143570
Miami, FL
Past

March 15, 2011 - February 1, 2019

WILLIAM O'NEIL SECURITIES

BD
CRD#: 894
NEW YORK, NY
Past

May 4, 2006 - January 20, 2011

CLANCY FINANCIAL SERVICES, INC.

BD
CRD#: 133379
NEW YORK, NY
Past

April 24, 2006 - May 26, 2006

TROY SECURITIES, INC.

BD
CRD#: 122241
NEW YORK, NY
Past

July 18, 2002 - April 24, 2006

TROY SECURITIES, INC.

BD
CRD#: 122241
NEW YORK, NY
Past

May 21, 2002 - February 10, 2003

LABRANCHE FINANCIAL SERVICES, LLC

BD
CRD#: 7432
NEW YORK, NY
Past

May 2, 2002 - February 6, 2003

DIGGINS, PATRICK JAMES

BD
CRD#: 120452
NY, NY
Past

July 6, 2000 - April 8, 2002

KV EXECUTION SERVICES LLC

BD
CRD#: 42093
NEW YORK, NY

State Registrations and Notice Filings

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

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
New York
(2/1/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 2/17/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 11/7/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/22/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 25
Date: 3/14/2000
NYSE Trading Assistant Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/10/2017
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/8/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

R&
ROBERTS & RYAN, INC.
ROBERTS & RYAN INVESTMENTS INC. | ROBERTS SECURITIES, INC. | ROBERTS & RYAN, INC.

CRD#: 19456 / SEC#: 801-113965, 8-37469

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
39 Broadway Ste 1640, New York, NY 10006
Mailing Address
39 Broadway Ste 610, New York, NY 10006-3003
Phone number
(866) 884-9959
Established
Delaware since 02/01/2023
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (32 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
DALESSANDRO, EDWARD JOHNMANAGING DIRECTOR, CEO2335785
R&R PARTNERS HOLDING COMPANY, LLCSHAREHOLDER
R&R PRINCIPALS HOLDING COMPANY, LLCSHAREHOLDER
BEATON, DANIEL STEWARTCHIEF FINANCIAL OFFICER, FINOP4240769
ROBERTS, DANIELCCO2208120
SCALA, BRIAN NMNREGISTERED OPTIONS PRINCIPAL2814478

Disclosures

Regulatory Event1

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.

Company Information

ROBERTS & RYAN, INC.

CRD#: 19456New York, NY 10006-3003

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