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DN

Don E. Noble

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CRD#: 1794701
DN

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.

Don Everett Noble was a registered financial professional .

Don is a previously registered financial professional and started their career in finance in 1988. Don had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 7, 2012 - October 5, 2017

ANICO FINANCIAL SERVICES, INC.

BD
CRD#: 158883
GALVESTON, TX
Past

May 31, 2002 - September 4, 2012

SECURITIES MANAGEMENT & RESEARCH, INC.

BD
CRD#: 759
CEDAR RAPIDS, IA
Past

January 1, 2002 - January 25, 2002

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

December 15, 2000 - January 1, 2002

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

July 12, 1999 - November 17, 1999

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

March 19, 1997 - July 12, 1999

BA INVESTMENT SERVICES, INC.

BD
CRD#: 12965
OAKLAND, CA
Past

November 2, 1993 - March 19, 1997

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA
Past

September 4, 1990 - October 6, 1993

FIDELITY EQUITY SERVICES CORPORATION

BD
CRD#: 17455
Past

February 24, 1988 - August 3, 1990

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

February 24, 1988 - August 3, 1990

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/13/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/13/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/5/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/3/1996
General Securities Principal Examination

Current Firm

AF
ANICO FINANCIAL SERVICES, INC.
ANICO FINANCIAL SERVICES, INC.

CRD#: 158883 / SEC#: , 8-68938

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
One Moody Plaza, Suite 1463, Galveston, TX 77550
Mailing Address
One Moody Plaza Suite 1463, Galveston, TX 77550
Phone number
(409) 621-7809
Established
Texas since 12/21/2010
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AMERICAN NATIONAL INSURANCE COMPANYDIRECT OWNER
LUIKART, THAD MICHAELDIRECTOR, PRESIDENT & CEO5111050
MERRILL, BRODY JASONSVP, CFO, FINOP5450137
WHITE, STACEY LEIGHAVP, CHIEF COMPLIANCE OFFICER2721039

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.

Company Information

ANICO FINANCIAL SERVICES, INC.

CRD#: 158883

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