Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
BRUCE WESTON NOLLENBERGER
CRD#: 823846
IA
Investment Adviser
B
Previous Broker
NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLCCRD#: 165451 100 SHORELINE HIGHWAY
BUILDING B, SUITE 380
MILL VALLEY, CA 94941
Registration History
19801985199019952000200520102015202020252 FIRMS2010 - 2011 (1 year)2 FIRMS2011 - 2012 (1 year)IANOLLENBERGER MCCULLOUGH INVEST... (CRD# 165451)2012 - Present (12 years)BWESTERN INTERNATIONAL SECURITI... (CRD# 39262)2012 - 2018 (5 years)BNOLLENBERGER CAPITAL PARTNERS INC. (CRD# 119248)2002 - 2010 (7 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2001 - 2001 (<1 year)BWELLS FARGO VAN KASPER, LLC (CRD# 7665)1992 - 2001 (9 years)BSUTRO & CO. INCORPORATED (CRD# 801)1980 - 1992 (11 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1978 - 1980 (2 years)BDEAN WITTER & CO. INCORPORATED (CRD# 6466)1976 - 1978 (1 year)IANOLLENBERGER CAPITAL INVESTMEN... (CRD# 123904)2008 - 2010 (2 years)IANOLLENBERGER CAPITAL PARTNERS,... (CRD# 119248)2003 - 2010 (7 years)IANOLLENBERGER CAPITAL INVESTMEN... (CRD# 123904)2003 - 2005 (2 years)
License(s)

State Registrations

IA
California 11/30/2012
Current Registration(s)
IA
NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC (CRD#:165451)
100 SHORELINE HIGHWAY BUILDING B, SUITE 380, MILL VALLEY, CA 94941
Registered with this firm since 11/30/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 10/19/2012 - 05/02/2018 WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262) San Francisco, CA
IA
 08/15/2011 - 10/16/2012 THINKEQUITY LLC (CRD#:44274) SAN FRANCISCO, CA
B
 08/15/2011 - 10/16/2012 THINKEQUITY LLC (CRD#:44274) SAN FRANCISCO, CA
IA
 07/15/2010 - 08/15/2011 GBS FINANCIAL CORP. (CRD#:16906) CORTE MADERA, CA
B
 07/15/2010 - 08/15/2011 GBS FINANCIAL CORP. (CRD#:16906) SANTA ROSA, CA
IA
 01/10/2008 - 03/02/2010 NOLLENBERGER CAPITAL INVESTMENT ADVISORY INC. (CRD#:123904) SAN FRANCISCO, CA
IA
 03/13/2003 - 03/02/2010 NOLLENBERGER CAPITAL PARTNERS, INC. (CRD#:119248) SAN FRANCISCO, CA
B
 07/11/2002 - 03/02/2010 NOLLENBERGER CAPITAL PARTNERS INC. (CRD#:119248) SAN FRANCISCO, CA
IA
 03/19/2003 - 12/31/2005 NOLLENBERGER CAPITAL INVESTMENT ADVISORY INC. (CRD#:123904) SAN FRANCISCO, CA
B
 06/11/2001 - 09/04/2001 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
 07/22/1992 - 09/04/2001 WELLS FARGO VAN KASPER, LLC (CRD#:7665) SAN FRANCISCO, CA
B
 09/23/1980 - 08/14/1992 SUTRO & CO. INCORPORATED (CRD#:801) SAN FRANCISCO, CA
B
 02/24/1978 - 10/19/1980 DEAN WITTER REYNOLDS INC. (CRD#:7556)
B
 06/25/1976 - 02/24/1978 DEAN WITTER & CO. INCORPORATED (CRD#:6466)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.