David Jonathan Lean
Professional Summary
David Jonathan Lean is a registered financial advisor currently at NOBLE CAPITAL MARKETS, INC. located in New York, New York. David is registered as a RR (Registered Representative) and started their career in finance in 1998. David has worked at 5 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
NOBLE CAPITAL MANAGEMENT INC | NOBLE LIFE SCIENCE PARTNERS | NOBLE INTERNATIONAL INVESTMENTS, INC. | NOBLE FINANCIAL CAPITAL MARKETS | NOBLE CAPITAL MARKETS, INC.
Contact Information
Main Address
150 East Palmetto Park Road Suite 110, Boca Raton, FL 33432Mailing Address
150 East Palmetto Park Road Suite 110, Boca Raton, FL 33432Phone Number
(561) 994-1191Established
Florida since 09/21/1984Firm Type
CorporationFiscal Year End
SeptemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
9Arbitration
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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.
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State Registrations and Notice Filings
(9/28/2021)
(1/10/2022)
(3/14/2022)
(1/17/2020)
(9/2/2017)
(1/8/2021)
(9/2/2017)
(1/5/2023)
(10/9/2019)
(9/2/2017)
(8/25/2022)
(1/10/2022)
(9/2/2017)
(1/10/2022)
(4/9/2024)
(9/28/2021)
(1/10/2022)
(3/10/2021)
(9/2/2017)
(9/28/2021)
(1/10/2022)
(8/19/2022)
(4/14/2023)
(9/2/2017)
(3/22/2022)
(9/2/2017)
(10/24/2024)
(11/6/2024)
(1/8/2021)
(11/23/2020)
(3/31/2021)
(2/10/2021)
(7/11/2023)
(9/24/2021)
(9/26/2017)
(1/10/2022)
(5/20/2024)
(3/24/2026)
(1/10/2022)
(9/28/2021)
(1/10/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Nov 2000SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David Jonathan Lean's CRS (Customer Relationship Summary).
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