Brian Nelson Sly

Current Employers

Brian Sly And Company

Meadow Vista, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2010-07-20

CA RA
APPROVED

Since 2010-07-20

Branch Locations

Meadow Vista, CA • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Brian Sly And Company, Inc.	Orinda	CA	12/2009	Present

12/2009 → Present

Brian Sly And Company, Inc.

Orinda, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-05-07
S63	Uniform Securities Agent State Law Examination	1983-10-20

S65 Uniform Investment Adviser Law Examination

1992-05-07
S63 Uniform Securities Agent State Law Examination

1983-10-20

Other Names

Brian Sly