Thomas R. Noonan

THOMAS R. NOONAN

Ft. Lauderdale, FL

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CRD#: 348957

Professional summary

Thomas Richard Noonan is a registered financial advisor currently at THOMAS R. NOONAN, INC. located in Ft. Lauderdale, Florida.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1969. Thomas has worked at 11 firms and has passed the Series 63, SIE, PC, Series 5, Series 1, Series 53, Series 27, Series 4 and Series 40 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.

1)THOMAS R. NOONAN, PUBLIC SPEAKER, 2409 N. ATLANTIC BLVD, FT. LAUDERDALE, FL 33305. I OFFER TO SPEAK AT CONFERENCES ABOUT BUSINESS TOPICS. I NEVER OFFER INVESTMENT ADVICE AND NEVER SOLICIT INVESTMENT RELATED BUSINESS. I AM LISTED AS A BUSINESS SPEAKER ON SEVERAL SPEAKING WEBSITES BUT HAVE NO OWNERSHIP NOR INCOME FROM ANYONE. I BEGAN PUBLIC SPEAKING IN 1994. I SPEND LESS THAN 1 HOUR PER MONTH ON THIS BUSINESS. 2)ANY LAB TEST BROWARD, 2409 N. ATLANTIC BLVD., FT. LAUDERDALE, FL 33305. THIS IS A HEALTH TESTING BUSINESS THAT IS OWNED A THIRD EACH BY MY WIFE AND 2 SONS. I AM LISTED ONLY FOR THE PURPOSE OF FILING STATE REGISTRATION FORMS AND TAX RETURNS. THE BUSINESS STARTED IN 2008. I HAVE NEVER RECEIVED ANY COMPENSATION FROM THIS BUSINESS. I SPEND LESS THAN 1 HOUR PER MONTH ON THIS BUSINESS. 3)ALLEN AND NOONAN. 2409 N. ATLANTIC BLVD., FT. LAUDERDALE, FL 33305. THIS IS A NEW FINRA REGISTERED BROKER/DEALER THAT HAS NOT BEEN APPROVED YET. I AM 50% OWNER AND DAVID ALLEN OWNS 50%. I PROVIDED THE INVESTMENT CAPITAL AND DAVID ALLEN IS RESPONSIBLE FOR ALL THE REGULATORY FILINGS. THE BUSINESS HAS BEEN IN THE FORMATION STAGE FOR APPROXIMATELY 6 MONTHS. I HAVE RECEIVED NO INCOME FROM THIS BUSINESS. I SPEND LESS THAN 1 HOUR PER MONTH ON THIS BUSINESS.

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CRS (Client Relationship Summary) - RIA

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 20, 1994 - Present

THOMAS R. NOONAN, INC.

RIA

CRD#: 142143

Ft. Lauderdale, FL

Past

February 17, 2015 - December 14, 2015

AVENIR FINANCIAL GROUP

CRD#: 148490

NEW YORK, NY

Past

July 26, 2013 - August 27, 2013

AVENIR FINANCIAL GROUP

CRD#: 148490

NEW YORK, NY

Past

March 8, 2012 - April 10, 2013

AVENIR FINANCIAL GROUP

CRD#: 148490

FT. LAUDERDALE, FL

Past

March 2, 1993 - April 23, 2010

UNION FINANCIAL CORP.

CRD#: 30650

FT LAUDERDALE, FL

Past

March 4, 1982 - June 2, 1993

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

September 14, 1981 - March 8, 1982

ROSS, STEBBINS INC.

CRD#: 6381

Past

February 10, 1981 - September 29, 1981

JOHN MUIR & CO.

CRD#: 2837

Past

July 30, 1979 - February 9, 1980

MORGAN STANLEY DW INC.

CRD#: 7556

Past

January 18, 1978 - August 16, 1979

LOEB PARTNERS

CRD#: 7534

Past

May 5, 1977 - January 18, 1978

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

CRD#: 7394

Past

June 18, 1976 - May 5, 1977

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

CRD#: 412

Past

June 2, 1969 - July 30, 1976

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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.

Highlighted states indicate IAR registrations

IAR

Florida
(9/20/1994)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/3/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/14/2015

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 11/13/1981

AMEX Put and Call Exam

General Industry/Product Exam

Series 5

Date: 11/13/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 1

Date: 5/28/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/2/1993

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 12/16/1992

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 4

Date: 9/13/1977

Registered Options Principal Examination

Principal/Supervisory Exam

Series 40

Date: 1/22/1977

Registered Principal Examination

Current Firm

THOMAS R. NOONAN, INC.

CRD#: 142143 / SEC#:

Florida

Registered Investment Advisory firm - (9/20/1994 Approved)

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Contact information

Main Address

Ft. Lauderdale, FL

Mailing Address

Phone number

(954) 563-2394

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 21,160,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Thomas R. Noonan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Richard Noonan's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVENIR FINANCIAL GROUP

AVENIR FINANCIAL GROUP

AVENIR FINANCIAL GROUP

UNION FINANCIAL CORP.

CIBC WORLD MARKETS CORP.

ROSS, STEBBINS INC.

JOHN MUIR & CO.

MORGAN STANLEY DW INC.

LOEB PARTNERS

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/3/1982

SIE

Date: 12/14/2015

PC

Date: 11/13/1981

Series 5

Date: 11/13/1981

Series 1

Date: 5/28/1969

Series 53

Date: 3/2/1993

Series 27

Date: 12/16/1992

Series 4

Date: 9/13/1977

Series 40

Date: 1/22/1977

Current Firm

THOMAS R. NOONAN, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THOMAS R. NOONAN, INC.

TRUST BUT VERIFY

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