Michael G. Nolan
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.
Michael Gerard Nolan was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 8 firms and has passed the Series 63, Series 3, Series 7, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2014 - September 30, 2014
CARY STREET PARTNERS
January 9, 2012 - April 2, 2012
SIP NORDIC AMERICA LLC
January 23, 2007 - March 3, 2008
MCCLENDON, MORRISON & PARTNERS, INC.
August 22, 2006 - February 18, 2010
MARKET WISE SECURITIES, LLC
April 7, 1998 - June 10, 1998
WAVE SECURITIES, LLC
October 2, 1997 - January 4, 2010
TERRA NOVA FINANCIAL, LLC
November 13, 1995 - September 18, 1997
CHICAGO PARTNERSHIP BOARD, INC.
February 15, 1994 - October 10, 1995
MF GLOBAL 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
CARY STREET PARTNERS
CRD#: 128089 / SEC#: , 8-66085
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARY STREET PARTNERS FINANCIAL LLC | SOLE MEMBER OF BROKER-DEALER | |
| BAYNE, WALTER DONALD | PRESIDENT OF BROKER-DEALER AND MANAGING DIRECTOR OF CSPF | 4427332 |
| GALLUP, WESLEY HAMILTON | CHIEF OPERATING OFFICER OF CSPF | 5037007 |
| HAYES, JAIMAL CHARAN | CHIEF COMPLIANCE OFFICER OF BROKER-DEALER | 4259937 |
| MITCHELL, KEVIN LEE | HEAD OF ACCOUNTING - CONTROLLER AND FINANCIAL OPERATIONS PRINCIPAL OF BROKER-DEALER | 3085157 |
| RUBIN, MATTHEW LAWRENCE | CHIEF INVESTMENT OFFICER OF CSPF | 3057508 |
| SCHMUCKLER, JOSEPH REDMOND | CHIEF EXECUTIVE OFFICER OF CSPF | 1156472 |
| TULLIDGE, THOMAS HOGSHEAD JR | SECRETARY/TREASURER OF BROKER-DEALER AND CHIEF STRATEGY OFFICER, LEGAL AND FINANCE OF CSPF | 2858022 |
Red Flags
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