Shari N. Noonan
Professional summary
Shari Nicole Noonan, who also goes by Shari Nicole Cummings, is a registered financial professional currently at RIALTO MARKETS LLC located in New York, New York.
Shari is registered as a RR (Registered Representative) and started their career in finance in 2003. Shari has worked at 5 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shari Nicole Noonan's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 28, 2020 - Present
RIALTO MARKETS LLC
Office #1: 42 Broadway Suite 12-129, New York, NY 10004Office #2: 42 Broadway Suite 12-129, New York, NY 10004May 10, 2017 - February 3, 2020
RIALTO MARKETS LLC
July 23, 2010 - May 3, 2016
DEUTSCHE BANK SECURITIES INC.
January 31, 2005 - July 28, 2010
GOLDMAN SACHS & CO. LLC
June 25, 2003 - January 31, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 11, 2003 - June 24, 2003
INSTINET, 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
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 4/14/2006
Limited Representative-Equity Trader ExamFINRA
Current Firm
RIALTO MARKETS LLC
CRD#: 283477 / SEC#: , 8-69756
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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