Noreen Osullivan-flanagan
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.
Noreen Osullivan-flanagan, who also goes by Noreen Flanagan, Noreen O'sullivan, Noreen Osullivan, was a registered financial professional .
Noreen is a previously registered financial professional and started their career in finance in 1988. Noreen had worked at 13 firms and has passed the Series 63, SIE, 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
May 16, 2022 - September 20, 2024
PEAK BROKERAGE SERVICES, LLC
March 1, 2018 - May 24, 2022
PRUCO SECURITIES, LLC.
March 25, 2017 - February 9, 2018
MML INVESTORS SERVICES, LLC
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
September 4, 2012 - January 2, 2015
NEW ENGLAND SECURITIES
July 26, 2010 - July 9, 2012
IFS SECURITIES
January 3, 2006 - July 26, 2010
LEVEL FOUR FINANCIAL, LLC
March 28, 2002 - December 31, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 15, 1998 - April 9, 2002
CITIGROUP GLOBAL MARKETS INC.
March 28, 1994 - January 9, 1998
UBS FINANCIAL SERVICES INC.
August 18, 1989 - April 11, 1994
J. B. HANAUER & CO.
July 1, 1988 - April 27, 1989
PROFILE INVESTMENTS CORPORATION
April 19, 1988 - July 19, 1988
J. W. GANT & ASSOCIATES, 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
PEAK BROKERAGE SERVICES, LLC
CRD#: 157045 / SEC#: , 8-68829
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEAK REPS, LLC | OWNER | |
| COKER, KAREN | CHIEF RISK OFFICER | 2731928 |
| MUELLER, CHRISTOPHER BRIAN | CHIEF OPERATIONS OFFICER | 2098597 |
| PHILLIPS, DAVID LEVERT | CHIEF INFORMATION SECURITY OFFICER | 2054858 |
| REYNOLDS, MATTHEW MARK | PRESIDENT/FINOP | 4077413 |
| RUDNICK, REGINA MARY | PRESIDENT/HEAD OF ADVISOR SERVICES | 2373530 |
| TAYLOR, CHRISTIAN GABRIEL | CHIEF COMPLIANCE OFFICER | 5462381 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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