Noah D. Kay
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.
Noah Daniel Kay was a registered financial professional .
Noah is a previously registered financial professional and started their career in finance in 1999. Noah had worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2021 - March 6, 2024
PURSHE KAPLAN STERLING INVESTMENTS
March 26, 2004 - September 20, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 2000 - September 20, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 16, 1999 - June 21, 1999
SIMMERS CAPITAL MANAGEMENT CORPORATION
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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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