Noel A. Deleon
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.
Noel Antonio Deleon JR. was a registered financial professional .
Noel is a previously registered financial professional and started their career in finance in 2000. Noel had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2011 - March 17, 2014
CALDWELL INTERNATIONAL SECURITIES
August 13, 2010 - June 21, 2011
PHD CAPITAL
May 29, 2002 - August 30, 2010
E1 ASSET MANAGEMENT, INC.
October 17, 2000 - June 5, 2002
J.P. TURNER & COMPANY, L.L.C.
State Registrations and Notice Filings
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Exams
Current Firm
CALDWELL INTERNATIONAL SECURITIES
CRD#: 104323 / SEC#: , 8-52771
Contact information
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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