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DN

Daniel N. Noonan

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CRD#: 4388397
DN

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.

Daniel Nicholas Noonan, who also goes by Danny Noonan, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2001. Daniel had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Danny Noonan

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 16, 2018 - May 12, 2018

TD AMERITRADE, INC.

RIA
CRD#: 7870
OMAHA, NE
Past

January 16, 2018 - May 12, 2018

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
Omaha, NE
Past

January 16, 2018 - May 12, 2018

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

June 18, 2015 - October 24, 2017

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
OMAHA, NE
Past

June 17, 2015 - October 10, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
OMAHA, NE
Past

October 2, 2012 - June 18, 2015

FIRST NATIONAL CAPITAL MARKETS

RIA
CRD#: 115920
OMAHA, NE
Past

September 13, 2012 - June 18, 2015

FIRST NATIONAL CAPITAL MARKETS

BD
CRD#: 115920
OMAHA, NE
Past

November 12, 2010 - September 21, 2012

MORGAN STANLEY

RIA
CRD#: 149777
OMAHA, NE
Past

November 8, 2010 - September 21, 2012

MORGAN STANLEY

BD
CRD#: 149777
OMAHA, NE
Past

August 18, 2003 - November 11, 2010

LPL FINANCIAL LLC

RIA
CRD#: 6413
OMAHA, NE
Past

August 14, 2003 - November 11, 2010

LPL FINANCIAL LLC

BD
CRD#: 6413
OMAHA, NE
Past

July 1, 2003 - August 11, 2003

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SAN DIEGO, CA
Past

February 5, 2002 - July 2, 2003

LPL FINANCIAL LLC

RIA
CRD#: 6413
OMAHA, NE
Past

January 17, 2002 - July 2, 2003

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

April 26, 2001 - February 13, 2002

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/5/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/8/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/12/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/25/2001
General Securities Representative Examination

Current Firm

TD AMERITRADE, INC.
TD AMERITRADE, INC.
TD AMERITRADE, INC. | WATERHOUSE SECURITIES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC.

CRD#: 7870 / SEC#: 801-60469, 8-23395

BD
Terminated by SEC on 09/17/2024
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Contact information

Main Address
200 South 108th Avenue, Omaha, NE 68154
Mailing Address
Phone number
(800) 669-3900
Established
New York since 09/29/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
5,840

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
TD AMERITRADE ONLINE HOLDINGS LLC.OWNER
KONOP, LYNN MARIECHIEF COMPLIANCE OFFICER - BD1216310
KOSTULIAS, JAMES ROBERTPRESIDENT3091009
STARR, JEFFREY HAROLDMANAGING DIRECTOR, OPERATIONS4700461
THOMPSON, AARON MARKCHIEF FINANCIAL OFFICER/FINOP6483170

Disclosures

Regulatory Event79
Civil Event1
Arbitration145

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.

Company Information

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CRD#: 7870

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