John W. Nolan
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 William Nolan II was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1985. John had worked at 17 firms and has passed the Series 65, Series 63, Series 7 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
October 20, 2004 - September 24, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - September 24, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 16, 2004 - October 20, 2004
QUICK & REILLY, INC.
January 27, 2004 - October 20, 2004
QUICK & REILLY, INC.
March 16, 2001 - January 29, 2004
SUNAMERICA SECURITIES, INC.
March 5, 1999 - March 28, 2001
JOSEPHTHAL & CO., INC.
August 14, 1998 - December 31, 1998
BOLTON GLOBAL CAPITAL
January 9, 1992 - November 3, 1998
H.J. MEYERS & CO., INC.
October 30, 1991 - January 6, 1992
J. W. GANT & ASSOCIATES, INC.
April 5, 1991 - November 7, 1991
MML INVESTORS SERVICES, LLC
October 23, 1990 - January 10, 1991
TAW SECURITIES, INC.
May 2, 1990 - November 29, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 2, 1990 - November 29, 1990
PRUCO SECURITIES, LLC.
January 25, 1990 - April 4, 1990
H.J. MEYERS & CO., INC.
May 31, 1989 - January 3, 1990
J. T. MORAN & CO., INC.
May 9, 1989 - May 25, 1989
L.F. THOMPSON & COMPANY
March 23, 1989 - May 9, 1989
THE STUART-JAMES COMPANY, INCORPORATED
December 14, 1988 - April 4, 1990
H.J. MEYERS & CO., INC.
February 16, 1988 - December 16, 1988
THE STUART-JAMES COMPANY, INCORPORATED
July 14, 1987 - December 21, 1987
THE STUART-JAMES COMPANY, INCORPORATED
April 15, 1987 - June 25, 1987
CITIGROUP GLOBAL MARKETS INC.
May 16, 1985 - August 6, 1987
AMERICAN HERITAGE SECURITIES CORPORATION
January 23, 1985 - May 15, 1985
MICHAEL C. TALLEY & CO., 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
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
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.
