Danny J. Noles

OSAIC WEALTH

TEMPE, AZ 85282

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CRD#: 2337827

Professional summary

Danny James Noles is a registered financial professional currently at OSAIC WEALTH, INC. located in Tempe, Arizona.

Danny is registered as a RR (Registered Representative) and started their career in finance in 1993. Danny has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Danny James Noles's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 4515 S Mcclintock Dr #116, Tempe, AZ 85282Office #2: 3800 Colonnade Parkway Suite 600, Birmingham, AL 35243

RIA

CRD#: 23131

TEMPE, AZ

Past

March 4, 2019 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

BIRMINGHAM, AL

Past

March 11, 2016 - March 5, 2019

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

BIRMINGHAM, AL

Past

March 22, 2013 - March 16, 2016

OSAIC SERVICES, INC.

CRD#: 133763

BIRMINGHAM, AL

Past

September 20, 2010 - April 18, 2013

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

ADDISON, TX

Past

December 3, 1993 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

DALLAS, TX

Past

December 3, 1993 - July 8, 2010

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

DALLAS, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(9/1/2023)

Arizona
(4/26/2024)

California
(9/1/2023)

Florida
(9/1/2023)

Georgia
(9/1/2023)

Hawaii
(4/16/2024)

Indiana
(9/1/2023)

Louisiana
(9/1/2023)

Maryland
(7/3/2025)

Massachusetts
(9/1/2023)

Mississippi
(9/1/2023)

Missouri
(9/1/2023)

Nevada
(9/1/2023)

New York
(5/20/2024)

North Carolina
(9/1/2023)

Ohio
(9/1/2023)

Oklahoma
(9/1/2023)

South Carolina
(9/1/2023)

Tennessee
(9/1/2023)

Texas
(9/1/2023)

Virginia
(9/1/2023)

Washington
(10/15/2024)

West Virginia
(9/1/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/2/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/15/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/2/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/17/2002

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

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Danny J. Noles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Danny James Noles's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC SERVICES, INC.

HORNOR, TOWNSEND & KENT, LLC

OSAIC SERVICES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/2/1994

SIE

Date: 10/1/2018

Series 7

Date: 5/15/2003

Series 6

Date: 12/2/1993

Series 26

Date: 9/17/2002

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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