James S. Pittenger

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CRD#: 818823

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.

James S Pittenger JR, CFP® was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1976. James had worked at 3 firms and has passed the Series 63, Series 5, Series 7, Series 4, Series 12 and Series 24 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.

The advisor shows no other business activity.

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®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Past

March 18, 2002 - January 6, 2026

PITTENGER & ANDERSON INC

RIA

CRD#: 111033

LINCOLN, NE

Past

February 24, 1978 - July 6, 1995

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

March 2, 1976 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

CRD#: 6466

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".

PITTENGER & ANDERSON INC

PITTENGER & ANDERSON INC | PITTENGER FINANCIAL INC

CRD#: 111033 / SEC#: 801-49107

RIA

Registered Investment Advisory firm - (5/3/2000 Approved)

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

State Security Law Exam

Series 63

Date: 1/10/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 12/11/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 2/21/1976

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 1/30/1987

Registered Options Principal Examination

Principal/Supervisory Exam

Series 12

Date: 12/13/1979

NYSE Branch Manager Examination

Principal/Supervisory Exam

Series 24

Date: 11/13/1979

General Securities Principal Examination

Current Firm

PITTENGER & ANDERSON INC

PITTENGER & ANDERSON INC | PITTENGER FINANCIAL INC

CRD#: 111033 / SEC#: 801-49107

RIA

Registered Investment Advisory firm - (5/3/2000 Approved)

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Contact information

Main Address

5533 S. 27th Street Suite 201, Lincoln, NE 68512

Mailing Address

Phone number

(402) 328-8800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DECEMBER 2025 ADV 2A (12/23/2025)

Regulatory assets under management

Total Number of Accounts	2,261
AUM (Assets Under Management)	$ 3,034,066,574

Red Flags

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Advisor Monitoring

Firm Stability Insights

James S. Pittenger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY DW INC.

DEAN WITTER & CO. INCORPORATED

Primary Firm SEC Registration

PITTENGER & ANDERSON INC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/10/1980

Series 5

Date: 12/11/1982

Series 7

Date: 2/21/1976

Series 4

Date: 1/30/1987

Series 12

Date: 12/13/1979

Series 24

Date: 11/13/1979

Current Firm

PITTENGER & ANDERSON INC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PITTENGER & ANDERSON INC

TRUST BUT VERIFY

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