Daniel J. Nestlerode

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CRD#: 346594

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Jared Nestlerode was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1965. Daniel had worked at 1 firm and has passed the Series 7TO, Series 99TO, Series 52TO, SIE, Series 1, Series 24, Series 53, Series 27 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

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.

PINE VILLAGE INC. NON-INVESTMENT RELATED-FAMILY CORPORATION PO BOX 86, WATERVILLE, PA 17776 PRESIDENT, TREASURER START DATE: 10/27/1987 APPROXIMATELY 20 HOURS/MONTH: EVENINGS/WEEKENDS WITH NO HOURS DURING SECURITY TRADING HOURS DUTIES: CUTTING DEAD TREES, MOWING LAWNS, FIXING AND MAINTAINING CABINS AND ROAD ACCESS. AUTHOR/WRITER. CURRENTLY WRITING A BOOK WITH RAVENSWOOD PUBLISHING. NOT PUBLISHED AT THIS TIME. ANY POTENTIAL COMPENSATION WOULD BE BY 1099. THE BOOK IS A REFLECTION ON MY 50 YEARS IN THE INVESTMENT BUSINESS. APPROXIMATELY 2 HOURS/MONTH: EVENINGS/WEEKENDS WITH NO HOURS DURING SECURITY TRADING HOURS

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 20, 2012 - December 31, 2022

NESTLERODE & LOY, INC.

RIA

CRD#: 2907

STATE COLLEGE, PA

Past

April 14, 1965 - December 31, 2022

NESTLERODE & LOY, INC.

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.

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)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 4/13/1965

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 1/2/2023

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 6/17/1988

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/26/1979

Registered Options Principal Examination

Current Firm

NESTLERODE & LOY, 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)

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

SEC notice filing (3 States and Territories)

FINRA licenses (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NESTLERODE & LOY, INC. BROCHURE 11-30-2024 (12/11/2024)

SUPPLEMENT FOR NICOLE LUCKIE 11-30-2024 (12/11/2024)

SUPPLEMENT FOR JUDY LOY 11-30-2024 (12/11/2024)

Direct owners and executive officers

Name	Position	CRD#
LOY, JUDY LYNNE	CEO	2249019
ANDERSON, BRIAN LEE	CFO	4525228
LOY, STEPHEN ALLAN	DIRECTOR	7671245
NESTLERODE, DANIEL JARED	DIRECTOR	346594
SHARER, JODY MARIE	CHIEF COMPLIANCE OFFICER	4494606

Regulatory assets under management

Total Number of Accounts	594
AUM (Assets Under Management)	$ 185,154,920

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Daniel J. Nestlerode

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NESTLERODE & LOY, INC.

Primary Firm SEC Registration

NESTLERODE & LOY, INC.

State Registrations and Notice Filings

Exams

Series 7TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 4/13/1965

Series 24

Date: 1/2/2023

Series 53

Date: 1/2/2023

Series 27

Date: 6/17/1988

Series 4

Date: 3/26/1979

Current Firm

NESTLERODE & LOY, INC.

Contact information

SEC notice filing (3 States and Territories)

FINRA licenses (11 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

NESTLERODE & LOY, INC.

TRUST BUT VERIFY

Contact information

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