Bruce W. Nollenberger

NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC

Mill Valley, CA 94941

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CRD#: 823846

Professional summary

Bruce Weston Nollenberger is a registered financial advisor currently at NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC located in Mill Valley, California.

Bruce is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1976. Bruce has worked at 11 firms and has passed the Series 65, Series 63, SIE, PC, Series 7, Series 24, Series 4 and Series 8 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.

I DO SOME EXPERT WITNESS WORK FOR THE SECURITIES INDUSTRY 10/2012-PRESENT; NOLLENBERGER INVESTMENT MANAGEMENT, LLC (RIA); IR

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Weston Nollenberger'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

November 30, 2012 - Present

NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC

Office #1: 100 Shoreline Highway Building B, Suite 380, Mill Valley, CA 94941

RIA

CRD#: 165451

Mill Valley, CA

Past

October 19, 2012 - May 2, 2018

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

San Francisco, CA

Past

August 15, 2011 - October 16, 2012

THINKEQUITY LLC

RIA

CRD#: 44274

SAN FRANCISCO, CA

Past

August 15, 2011 - October 16, 2012

THINKEQUITY LLC

CRD#: 44274

SAN FRANCISCO, CA

Past

July 15, 2010 - August 15, 2011

GBS FINANCIAL CORP.

RIA

CRD#: 16906

CORTE MADERA, CA

Past

July 15, 2010 - August 15, 2011

GBS FINANCIAL CORP.

CRD#: 16906

SANTA ROSA, CA

Past

January 10, 2008 - March 2, 2010

NOLLENBERGER CAPITAL INVESTMENT ADVISORY INC.

RIA

CRD#: 123904

SAN FRANCISCO, CA

Past

March 19, 2003 - December 31, 2005

NOLLENBERGER CAPITAL INVESTMENT ADVISORY INC.

RIA

CRD#: 123904

SAN FRANCISCO, CA

Past

March 13, 2003 - March 2, 2010

NOLLENBERGER CAPITAL PARTNERS INC.

RIA

CRD#: 119248

SAN FRANCISCO, CA

Past

July 11, 2002 - March 2, 2010

NOLLENBERGER CAPITAL PARTNERS INC.

CRD#: 119248

SAN FRANCISCO, CA

Past

June 11, 2001 - September 4, 2001

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

July 22, 1992 - September 4, 2001

WELLS FARGO SECURITIES, LLC

CRD#: 7665

SAN FRANCISCO, CA

Past

September 23, 1980 - August 14, 1992

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

February 24, 1978 - October 19, 1980

MORGAN STANLEY DW INC.

CRD#: 7556

Past

June 25, 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".

NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC

BW NOLLENBERGER INVESTMENT MANAGEMENT, INC. | NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC | NOLLENBERGER INVESTMENT MANAGEMENT LLC

CRD#: 165451 / SEC#: 801-120348

RIA

Registered Investment Advisory firm - (2/16/2021 Approved)

California

Registered Investment Advisory firm - (3/25/2021 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
(11/30/2012)

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

IAR

Series 65

Date: 10/11/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/27/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/2/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 2/6/1979

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 6/19/1976

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/30/1993

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 2/17/1993

Registered Options Principal Examination

Principal/Supervisory Exam

Series 8

Date: 1/28/1983

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC

BW NOLLENBERGER INVESTMENT MANAGEMENT, INC. | NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC | NOLLENBERGER INVESTMENT MANAGEMENT LLC

CRD#: 165451 / SEC#: 801-120348

RIA

Registered Investment Advisory firm - (2/16/2021 Approved)

California

Registered Investment Advisory firm - (3/25/2021 Terminated)

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Contact information

Main Address

100 Shoreline Highway Building B, Suite 380, Mill Valley, CA 94941

Mailing Address

100 Shoreline Highway Building B, Suite 380, Mill Valley, CA 94941

Phone number

(415) 287-5100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/12/2025)

Regulatory assets under management

Total Number of Accounts	87
AUM (Assets Under Management)	$ 137,623,976

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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Bruce W. Nollenberger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Weston Nollenberger's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTERN INTERNATIONAL SECURITIES, INC.

THINKEQUITY LLC

THINKEQUITY LLC

GBS FINANCIAL CORP.

GBS FINANCIAL CORP.

NOLLENBERGER CAPITAL INVESTMENT ADVISORY INC.

NOLLENBERGER CAPITAL INVESTMENT ADVISORY INC.

NOLLENBERGER CAPITAL PARTNERS INC.

NOLLENBERGER CAPITAL PARTNERS INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO SECURITIES, LLC

SUTRO & CO. INCORPORATED

MORGAN STANLEY DW INC.

DEAN WITTER & CO. INCORPORATED

Primary Firm SEC Registration

NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/11/1994

Series 63

Date: 10/27/1980

SIE

Date: 5/2/2018

PC

Date: 2/6/1979

Series 7

Date: 6/19/1976

Series 24

Date: 6/30/1993

Series 4

Date: 2/17/1993

Series 8

Date: 1/28/1983

Current Firm

NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

Contact information

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