Craig A. Noel
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.
Craig Alan Noel was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1984. Craig had worked at 5 firms and has passed the Series 63, SIE, Series 31, Series 7, Series 22, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - December 31, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 7, 1995 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 30, 1990 - December 31, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 18, 1989 - April 10, 1990
SUNAMERICA SECURITIES, INC.
March 14, 1985 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
April 26, 1984 - March 28, 1985
GUARANTY UNITED SECURITIES CORPORATION
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
