John M. Noble
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.
John Morton Noble was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3, Series 7, Series 23 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2013 - October 14, 2014
EK RILEY INVESTMENTS, LLC
June 4, 2012 - November 27, 2012
GBS FINANCIAL CORP.
January 24, 2012 - May 1, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 24, 2012 - May 1, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 18, 2010 - October 21, 2011
PAULSON INVESTMENT COMPANY LLC
October 18, 2010 - October 21, 2011
PAULSON INVESTMENT COMPANY LLC
December 19, 2008 - October 5, 2010
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
December 19, 2008 - October 5, 2010
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
December 1, 2005 - December 26, 2008
UBS FINANCIAL SERVICES INC.
November 27, 1996 - December 8, 2005
CITIGROUP GLOBAL MARKETS INC.
July 26, 1988 - December 8, 2005
CITIGROUP GLOBAL MARKETS INC.
June 19, 1986 - August 23, 1988
SUTRO & CO. INCORPORATED
August 16, 1983 - June 26, 1986
CITIGROUP GLOBAL MARKETS INC.
November 17, 1981 - August 19, 1983
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 8/14/2003
Foreign Currency Options ExaminationSeries 8
Date: 11/9/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EK RILEY INVESTMENTS, LLC
CRD#: 121003 / SEC#: 801-78547, 8-65369
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EK RILEY & CO., INC. | MEMBER | |
| LOUCH, AARON DAVID | CCO / CHIEF FINANCIAL OFFICER | 2662983 |
Disclosures
| Regulatory Event | 3 |
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.
