BA
Brian L. Anderson
NESTLERODE & LOY
State College, PA 16801
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CRD#: 4525228
BA
Professional summary
Brian Lee Anderson is a registered financial professional currently at NESTLERODE & LOY, INC. located in State College, Pennsylvania.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2002. Brian 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"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Brian Lee Anderson'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®
NoneExperience
Current
August 5, 2002 - 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.
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
Pennsylvania(8/5/2002)
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: 3/31/2008
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 7/23/2007
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
3
SEC notice filing (3 States and Territories)
FINRA licenses (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 594 |
| AUM (Assets Under Management) | $ 185,154,920 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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