Bruce C. Ryan

NOBLE CAPITAL MANAGEMENT

Westport, CT 06880

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CRD#: 408083

Professional summary

Bruce Charles Ryan is a registered financial advisor currently at NOBLE CAPITAL MANAGEMENT, INC. located in Westport, Connecticut and NOBLE CAPITAL MARKETS, INC. located in Westport, Connecticut.

Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Bruce has worked at 11 firms and has passed the Series 66, Series 63, Series 79TO, Series 99TO, Series 7TO, SIE, Series 1, Series 24 and Series 53 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.

d/b/a RHK Capital

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Charles Ryan'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®

None

Experience

Current

May 27, 2021 - Present

NOBLE CAPITAL MANAGEMENT, INC.

Office #1: 88 Post Road W, Westport, CT 06880

RIA

CRD#: 112938

Westport, CT

Current

January 29, 2021 - Present

NOBLE CAPITAL MARKETS, INC.

Office #1: 88 Post Road West 1st Floor, Westport, CT 06880Office #2: The Chrysler Building 405 Lexington Ave. 7th Floor, New York, NY, 10174

CRD#: 15768

Westport, CT

Past

February 8, 2017 - February 1, 2021

TRUST ADVISORY GROUP LTD

RIA

CRD#: 106926

Westport, CT

Past

February 7, 2017 - February 1, 2021

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

Westport, CT

Past

September 23, 2011 - February 6, 2017

SOURCE CAPITAL GROUP, INC.

RIA

CRD#: 36719

WESTPORT, CT

Past

November 30, 2001 - February 6, 2017

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

WESTPORT, CT

Past

March 18, 1993 - December 1, 2001

MERIT CAPITAL ASSOCIATES, INC.

CRD#: 30576

WESTPORT, CT

Past

October 30, 1992 - March 1, 1993

BROOKEHILL CAPITAL PARTNERS LIMITED

CRD#: 7966

WESTPORT, CT

Past

April 23, 1987 - April 30, 1992

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

March 10, 1978 - May 8, 1986

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

March 26, 1976 - April 23, 1978

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Past

June 1, 1973 - July 7, 1974

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

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.

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

Arizona
(1/29/2021)

California
(1/29/2021)

Colorado
(6/8/2021)

Connecticut
(2/1/2021)

IAR

Connecticut
(5/27/2021)

Florida
(2/8/2021)

Massachusetts
(2/1/2021)

New Jersey
(2/15/2022)

New York
(1/29/2021)

Texas
(4/3/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/21/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/12/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 5/23/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/12/1987

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 8/27/1986

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NOBLE CAPITAL MANAGEMENT, INC.

CRD#: 112938 / SEC#: 801-57065

RIA

Registered Investment Advisory firm - (10/23/2013 Terminated)

Connecticut

Registered Investment Advisory firm - (5/27/2021 Approved)

Florida

Registered Investment Advisory firm - (10/28/2010 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

150 East Palmetto Park Road Suite 110, Boca Raton, FL 33432

Mailing Address

Phone number

(561) 994-1191

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	34
AUM (Assets Under Management)	$ 10,000,000

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.

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Firm Stability Insights

Bruce C. Ryan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Charles Ryan's CRS (Customer Relationship Summary).

Certified licenses

Experience

NOBLE CAPITAL MARKETS, INC.

TRUST ADVISORY GROUP LTD

AGES FINANCIAL SERVICES, LTD.

SOURCE CAPITAL GROUP, INC.

SOURCE CAPITAL GROUP, INC.

MERIT CAPITAL ASSOCIATES, INC.

BROOKEHILL CAPITAL PARTNERS LIMITED

J.P. MORGAN SECURITIES INC.

CITIGROUP GLOBAL MARKETS INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/21/2011

Series 63

Date: 3/12/1985

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 5/23/1973

Series 24

Date: 3/12/1987

Series 53

Date: 8/27/1986

FINRA

Current Firm

NOBLE CAPITAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NOBLE CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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