Carolyn S. Noonan
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.
Carolyn Sue Noonan, who also goes by Carolyn Sue Birch, Carolyn Sue Pope, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1994. Carolyn had worked at 7 firms and has passed the Series 63, Series 7, Series 22, Series 6 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
June 27, 2005 - December 31, 2008
KOVACK SECURITIES INC.
January 3, 2005 - June 28, 2005
WFG INVESTMENTS, INC.
August 13, 1999 - December 31, 2004
PRO-INTEGRITY SECURITIES, INC.
April 30, 1998 - August 19, 1999
SECURITIES SERVICE NETWORK, LLC
September 9, 1996 - May 1, 1998
SUNPOINT SECURITIES, INC.
June 6, 1994 - August 23, 1996
WMA SECURITIES, INC.
March 29, 1994 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
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
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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