RN
Romann Noelcin
BNY ADVISORS
Pennington, NJ 08534
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CRD#: 3100017
RN
Professional summary
Romann Noelcin is a registered financial advisor currently at BNY ADVISORS located in Pennington, New Jersey and PERSHING LLC located in Lake Mary, Florida.
Romann is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Romann has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Romann Noelcin's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 30, 2012 - Present
BNY ADVISORS
Office #1: 1800 American Blvd Suite 300 - Pod D, Pennington, NJ 08534RIA
CRD#: 106108
Pennington, NJ
Current
February 17, 2005 - Present
PERSHING LLC
Office #1: 300 Colonial Center Parkway, Lake Mary, FL 32746BD
CRD#: 7560
Lake Mary, FL
Past
July 21, 2004 - January 31, 2005
NF CLEARING, INC.
BD
CRD#: 14285
PHILADELPHIA, PA
Past
September 28, 2001 - April 17, 2003
SWISS AMERICAN SECURITIES INC.
BD
CRD#: 7973
NEW YORK, NY
Past
October 11, 1999 - September 18, 2001
HARRISDIRECT LLC
BD
CRD#: 42159
JERSEY CITY, NJ
Past
September 17, 1998 - May 11, 1999
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BA
BNY ADVISORS
BNY ADVISORS | LOCKWOOD MANAGED ACCOUNT SOLUTIONS | LOCKWOOD ADVISORS INC | LOCKWOOD ADVISORS | LOCKWOOD | BNY MELLON LOCKWOOD | BNY MELLON ADVISORS, INC. | BNY MELLON ADVISORS
CRD#: 106108 / SEC#: 801-52378
RIA
Registered Investment Advisory firm - (7/15/1996 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New Jersey(2/17/2005)
IAR
New Jersey(9/2/2021)
RR
New York(2/17/2005)
RR
Pennsylvania(6/26/2012)
IAR
Pennsylvania(8/30/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 7/31/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/13/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
BA
BNY ADVISORS
BNY ADVISORS | LOCKWOOD MANAGED ACCOUNT SOLUTIONS | LOCKWOOD ADVISORS INC | LOCKWOOD ADVISORS | LOCKWOOD | BNY MELLON LOCKWOOD | BNY MELLON ADVISORS, INC. | BNY MELLON ADVISORS
CRD#: 106108 / SEC#: 801-52378
RIA
Registered Investment Advisory firm - (7/15/1996 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1800 American Blvd. Suite 300 - Pod D, Pennington, NJ 08534
Mailing Address
Phone number
800-200-3033, OPTION 3
Established
Firm type
Fiscal year end
# of Employees
79
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 122,578 |
| AUM (Assets Under Management) | $ 23,959,697,127 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/28/2024 | ||
| 10/27/2023 |
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.
Company Information
BNY ADVISORS
CRD#: 106108Pennington, NJ 08534TRUST BUT VERIFY
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