John S. Noesen
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 Stanley Noesen, who also goes by John Noesen, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2021 - December 31, 2023
NOESIS CAPITAL MANAGEMENT CORP
May 27, 2010 - June 21, 2019
CITIGROUP GLOBAL MARKETS INC.
June 30, 2008 - April 30, 2010
CF GLOBAL TRADING, LLC
August 11, 2004 - March 9, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 15, 1996 - March 9, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 16, 1991 - March 21, 1995
CREDIT SUISSE SECURITIES (USA) LLC
Primary Firm SEC Registration
NOESIS CAPITAL MANAGEMENT CORP
CRD#: 110819 / SEC#: 801-49934
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
NOESIS CAPITAL MANAGEMENT CORP
CRD#: 110819 / SEC#: 801-49934
Contact information
SEC notice filing (21 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 851 |
| AUM (Assets Under Management) | $ 876,873,175 |
Red Flags
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