Noel H. Sinclair
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.
Noel Howard Sinclair was a registered financial professional .
Noel is a previously registered financial professional and started their career in finance in 1986. Noel had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 34, Series 3, Series 7, Series 30, Series 27, Series 4 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
February 27, 2009 - December 31, 2014
VISION BROKERAGE SERVICES, LLC
January 2, 2009 - August 17, 2016
KINGSVIEW WEALTH MANAGEMENT, LLC
July 30, 2008 - February 27, 2009
U.S. FINANCIAL INVESTMENTS, INC.
August 29, 2007 - July 30, 2008
1ST DISCOUNT BROKERAGE, INC.
August 21, 2002 - July 30, 2008
1ST DISCOUNT BROKERAGE, INC.
April 26, 1996 - August 21, 2002
ACUMENT SECURITIES, INC.
July 6, 1994 - April 30, 1996
MORGAN STANLEY DW INC.
June 9, 1994 - August 12, 1994
VOYA FINANCIAL ADVISORS, INC.
May 29, 1992 - November 24, 1992
PENROD FINANCIAL GROUP
March 12, 1990 - November 23, 1990
AGINCOURT BROKERAGE, INC.
November 16, 1987 - December 31, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
March 19, 1986 - November 23, 1987
DONALD & CO. SECURITIES 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
VISION BROKERAGE SERVICES, LLC
CRD#: 47927 / SEC#: , 8-51966
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOSHNACK, ROBERT MARTIN | CLASS A MEMBER | |
| ROTHMAN, HOWARD MARTIN | CLASS A MANAGING MEMBER, CEO, CFO, FINOP, PRINCIPAL FINANCIAL OFFICER | 1098190 |
| HERRITT, JOSHUA DAVID | VP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP | 6205459 |
| KARAFA, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP | 2927594 |
| MARTINEZ, ANA | VP-OPERATIONS, PRINCIPAL OPERATIONS OFFICER, INSURANCE AND ANNUITY PRINCIPAL | 5288054 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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