Michael S. 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.
Michael Shields Noonan, who also goes by Michael S Noonan, Michael Shields Noonan, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 8 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2018 - March 15, 2019
RIALTO MARKETS LLC
January 30, 2013 - May 7, 2014
SG AMERICAS SECURITIES, LLC
April 16, 2012 - September 27, 2012
PENSERRA SECURITIES, LLC
May 2, 2011 - September 26, 2011
BTIG, LLC
May 27, 2010 - March 10, 2011
CF GLOBAL TRADING, LLC
October 22, 2003 - February 10, 2004
SEIDEL & CO., LLC
January 25, 2000 - June 24, 2002
CIBC WORLD MARKETS CORP.
February 19, 1999 - June 9, 1999
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RIALTO MARKETS LLC
CRD#: 283477 / SEC#: , 8-69756
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
