Joseph C. Noyes
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.
Joseph Cobham Noyes IV, who also goes by Jay Noyes, Joseph C Noyes IV, Joseph C Noyes, Joseph Cobham Noyes, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1995. Joseph had worked at 15 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 31, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2022 - December 19, 2023
IC ADVISORY SERVICES, INC.
August 1, 2022 - December 19, 2023
THE INVESTMENT CENTER, INC.
October 13, 2021 - December 9, 2021
METLIFE INVESTORS DISTRIBUTION COMPANY
September 16, 2020 - October 8, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 14, 2017 - July 20, 2020
CUNA BROKERAGE SERVICES, INC.
June 6, 2017 - July 20, 2020
CUNA BROKERAGE SERVICES, INC.
March 25, 2015 - February 20, 2017
CUNA BROKERAGE SERVICES, INC.
March 25, 2015 - February 20, 2017
CUNA BROKERAGE SERVICES, INC.
May 12, 2014 - December 10, 2014
CITIZENS SECURITIES, INC.
May 8, 2014 - December 10, 2014
CITIZENS SECURITIES, INC.
January 23, 2013 - March 28, 2014
SANTANDER SECURITIES LLC
January 23, 2013 - March 28, 2014
SANTANDER SECURITIES LLC
June 25, 2010 - January 7, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 25, 2010 - January 7, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - July 15, 2010
MORGAN STANLEY
June 1, 2009 - July 15, 2010
MORGAN STANLEY
October 20, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 13, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 14, 2006 - August 22, 2008
UBS FINANCIAL SERVICES INC.
August 25, 2006 - August 22, 2008
UBS FINANCIAL SERVICES INC.
January 12, 2006 - June 8, 2006
MONERE INVESTMENTS, INC.
October 3, 1997 - October 27, 1997
FIDELITY BROKERAGE SERVICES LLC
June 12, 1996 - October 3, 1997
NATIONAL FINANCIAL SERVICES LLC
April 13, 1995 - May 24, 1996
BANKBOSTON INVESTOR SERVICES, 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
IC ADVISORY SERVICES, INC.
CRD#: 140190 / SEC#: 801-66512
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,528 |
| AUM (Assets Under Management) | $ 2,056,415,877 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2024 | ||
| 02/15/2024 | ||
| 01/10/2023 |
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.
