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Noel J. Belmonte

Some features on this profile are disabled
CRD#: 2610336
NB

Professional summary

Noel James Belmonte was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Noel is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Noel had worked at 7 firms, which includes KIMBERLY SECURITIES INC., MILESTONE FINANCIAL SERVICES INC., SALOMON GREY FINANCIAL CORPORATION, SEABOARD SECURITIES INC., LCP CAPITAL CORP., STERLING FOSTER & COMPANY INC., FAIRCHILD FINANCIAL GROUP INC..

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 8, 2002 - October 28, 2002

KIMBERLY SECURITIES, INC.

BD
CRD#: 19241
HUNTINGTON, NY
Past

October 24, 2001 - February 8, 2002

MILESTONE FINANCIAL SERVICES, INC.

BD
CRD#: 43295
BOHEMIA, NY
Past

October 10, 2001 - October 24, 2001

SALOMON GREY FINANCIAL CORPORATION

BD
CRD#: 43413
DALLAS, TX
Past

March 5, 2001 - September 27, 2001

KIMBERLY SECURITIES, INC.

BD
CRD#: 19241
HUNTINGTON, NY
Past

March 15, 2000 - November 29, 2000

KIMBERLY SECURITIES, INC.

BD
CRD#: 19241
HUNTINGTON, NY
Past

April 13, 1998 - June 3, 1998

SEABOARD SECURITIES, INC.

BD
CRD#: 755
FLORHAM PARK, NJ
Past

November 10, 1997 - March 17, 1998

LCP CAPITAL CORP.

BD
CRD#: 14469
STATEN ISLAND, NY
Past

August 11, 1995 - November 19, 1996

STERLING FOSTER & COMPANY, INC.

BD
CRD#: 36052
UNIONDALE, NY
Past

July 6, 1995 - July 20, 1995

FAIRCHILD FINANCIAL GROUP, INC.

BD
CRD#: 21404
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/29/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/1995
General Securities Representative Examination

Current Firm

KS
KIMBERLY SECURITIES, INC.
FRENCH, SCHOFIELD & PFEIFER INVESTMENTS, INC. | SCHOFIELD INVESTMENTS, INC. | KIMBERLY SECURITIES, INC. | FRENCH, SCHOFIELD INVESTMENTS, INC.

CRD#: 19241 / SEC#: , 8-37321

BD
Terminated by SEC on 11/16/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 11/03/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KIMBERLY SECURITIES, LLCPARENT
BRAFF, HOWARDVICE PRESIDENT,GSP, ROP, CROP, SROP1161062
DAVISON, MICHAELFINOP1984185
KAWAS, JOHN CHARLES JRGSP, COMPLIANCE OFFICER265491
MISARACA, KIMBERLY JEANPRESIDENT, SECRETARY, TREASURER, GSP

Disclosures

Regulatory Event2
Arbitration6

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.

Company Information

KIMBERLY SECURITIES, INC.

CRD#: 19241

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