Noble C. Hathaway
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.
Noble Chapman Hathaway, who also goes by Noble Chapman Hathaway Jr, was a registered financial professional .
Noble is a previously registered financial professional and started their career in finance in 1988. Noble had worked at 14 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2012 - March 13, 2020
FINANCIAL LIFE PLANNERS
February 3, 2012 - August 6, 2012
PNC MANAGED ACCOUNT SOLUTIONS, INC.
January 13, 2012 - August 6, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
September 15, 2011 - December 7, 2011
CETERA WEALTH SERVICES, LLC
August 30, 2007 - December 31, 2010
CETERA WEALTH SERVICES, LLC
April 17, 2007 - December 7, 2011
CETERA WEALTH SERVICES, LLC
July 6, 2005 - January 17, 2006
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - January 17, 2006
CHASE INVESTMENT SERVICES CORP.
February 23, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
February 22, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
December 1, 2003 - July 1, 2004
CAPITAL BROKERAGE CORPORATION
August 11, 2000 - December 13, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 30, 1999 - August 11, 2000
CUNA BROKERAGE SERVICES, INC.
February 7, 1996 - April 22, 1999
BANC ONE SECURITIES CORPORATION
February 13, 1995 - January 23, 1996
ZIONS DIRECT, INC.
May 20, 1994 - January 24, 1995
IFMG SECURITIES, INC.
August 16, 1988 - May 4, 1994
DETWILER FENTON WEALTH MANAGEMENT INC
June 16, 1988 - August 6, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 16, 1988 - August 6, 1988
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
FINANCIAL LIFE PLANNERS
CRD#: 129415 / SEC#: 801-127888
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
FINANCIAL LIFE PLANNERS
CRD#: 129415 / SEC#: 801-127888
Contact information
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 788 |
| AUM (Assets Under Management) | $ 174,578,704 |
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.
