Howard E. Noll
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.
Howard Eugene Noll, who also goes by Howard Eugene Nutt, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1968. Howard had worked at 3 firms and has passed the Series 63, Series 1, Series 4, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 1997 - December 31, 2015
MAXWELL NOLL INVESTMENT ADVISORS
October 14, 1975 - August 31, 2012
MAXWELL NOLL INVESTMENT ADVISORS
February 13, 1974 - November 27, 1975
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
November 19, 1968 - April 8, 1974
DUPONT WALSTON, INCORPORATED
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
Series 1
Date: 11/13/1968
Registered Representative ExaminationF04
Date: 8/28/1975
Financial Principal ExaminationSeries 00
Date: 8/25/1975
General Securities Principal ExaminationCurrent Firm
MAXWELL NOLL INVESTMENT ADVISORS
CRD#: 6918 / SEC#: 801-116960, 8-18467
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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