Robert J. Nosel
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.
Robert Jay Nosel was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1982. Robert had worked at 17 firms and has passed the Series 65, Series 63, Series 7, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2007 - July 5, 2007
DAWSON JAMES SECURITIES, INC.
October 19, 2005 - December 31, 2006
THE CONCORD EQUITY GROUP, LLC
June 7, 2002 - October 10, 2005
NFSG CORPORATION
December 18, 2001 - October 10, 2005
NEWBRIDGE SECURITIES CORPORATION
November 27, 2001 - December 21, 2001
SANDS BROTHERS & CO., LTD.
August 31, 2001 - November 26, 2001
BLUESTONE CAPITAL CORP.
April 25, 2000 - August 31, 2001
SSI SECURITIES CORP.
April 21, 1999 - January 2, 2001
GKN SECURITIES CORP.
November 25, 1998 - April 22, 1999
THE CAMELOT GROUP, INC.
December 3, 1996 - November 30, 1998
JOSEPH CHARLES & ASSOC., INC.
May 13, 1994 - August 16, 1996
VOYA FINANCIAL ADVISORS, INC.
August 17, 1988 - October 27, 1988
A. G. EDWARDS & SONS, INC.
February 15, 1988 - August 29, 1988
LEHMAN BROTHERS INC.
May 20, 1985 - February 15, 1988
E. F. HUTTON & COMPANY INC
January 26, 1985 - April 29, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
June 7, 1984 - November 16, 1984
BEVILL, BRESLER & SCHULMAN INCORPORATED
October 27, 1983 - June 1, 1984
KIDDER, PEABODY & CO. INCORPORATED
September 2, 1982 - October 13, 1983
HALPERT AND COMPANY, 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
Current Firm
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 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.
