Donna J. Noble
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.
Donna Jean Noble, who also goes by Donne Jean Noble, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 1996. Donna had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 10, Series 9, Series 27 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
August 22, 2012 - March 28, 2013
DISTRIBUTION SERVICES, LLC
September 1, 2011 - July 2, 2012
NUVEEN ASSET MANAGEMENT, LLC
October 12, 2009 - July 2, 2012
NUVEEN SECURITIES, LLC
September 25, 2009 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
March 14, 2005 - September 26, 2007
DISTRIBUTION SERVICES, LLC
July 24, 2003 - January 12, 2005
GOLDMAN SACHS ASSET MANAGEMENT, L.P.
September 1, 2002 - October 1, 2004
GOLDMAN SACHS & CO. LLC
April 10, 2001 - October 1, 2004
GOLDMAN SACHS & CO. LLC
February 1, 1999 - March 29, 2001
BANC ONE SECURITIES CORPORATION
April 11, 1997 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
October 25, 1996 - December 12, 1996
PRUDENTIAL EQUITY GROUP, 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
DISTRIBUTION SERVICES, LLC
CRD#: 25938 / SEC#: , 8-42106
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| TAYLOR, GORDON BURDETTE | VP, CHIEF COMPLIANCE OFFICER | 2990648 |
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.
