Brian C. 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.
Brian Christopher Noonan was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1998. Brian had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2006 - June 5, 2015
TD AMERITRADE, INC.
January 2, 2002 - April 22, 2006
TD AMERITRADE CLEARING, INC.
November 15, 2001 - December 31, 2001
J.P. SECURITIES, INC.
September 19, 2001 - November 12, 2001
NEBRASKA HUDSON COMPANY, INC.
February 23, 1998 - December 31, 2001
ACCUTRADE 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
