James R. Noonan
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.
James Robert Noonan was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2010 - December 31, 2017
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
December 12, 2006 - May 1, 2010
BOFA DISTRIBUTORS, INC.
October 24, 2005 - June 8, 2006
CUNA BROKERAGE SERVICES, INC.
October 24, 2005 - June 8, 2006
CUNA BROKERAGE SERVICES, INC.
April 5, 2005 - October 19, 2005
MSI FINANCIAL SERVICES, INC.
December 6, 2004 - October 19, 2005
METROPOLITAN LIFE INSURANCE COMPANY
December 6, 2004 - October 19, 2005
MSI FINANCIAL SERVICES, INC.
January 1, 2000 - December 6, 2004
SIGNATOR INVESTORS, INC.
July 15, 1983 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 15, 1983 - December 6, 2004
SIGNATOR INVESTORS, 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
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
CRD#: 840 / SEC#: , 8-25845
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J. & W. SELIGMAN & CO. INCORPORATED | SOLE STOCKHOLDER | |
| BUFF, STEPHEN ODONNELL | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2143366 |
| BUMPUS, JAMES FREDERICK | DIRECTOR, VICE PRESIDENT, AND HEAD OF INTERMEDIARY MARKETS | 1928724 |
| DEFAO, MICHAEL E | VICE PRESIDENT, CHIEF LEGAL OFFICER AND ASSISTANT SECRETARY | 2687755 |
| MATTOX, MICHAEL SCOTT | CHIEF FINANCIAL OFFICER | 4383501 |
| TRUSCOTT, WILLIAM FREDERICK | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2416857 |
| ZEITOUN, MARC CLAUDE | DIRECTOR, VICE PRESIDENT AND HEAD OF NORTH AMERICA PRODUCT | 2639942 |
Disclosures
| Civil Event | 1 |
Red Flags
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