Noah Kessler

BROADSPAN ASSET MANAGEMENT LLC

MIAMI, FL 33131

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CRD#: 4435573

Professional summary

Noah Kessler is a registered financial advisor currently at BROADSPAN ASSET MANAGEMENT LLC located in Miami, Florida and BROADSPAN SECURITIES LLC located in Miami, Florida.

Noah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Noah has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 14 and Series 24 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.

START DATE: JUNE 2006. EMPLOYEE OF AFFILIATE BROADSPAN CAPITAL LLC AND BROADSPAN MANAGEMENT. PRIMARY RESPONSIBILITIES INVOLVED WITH REGISTERED BROKER-DEALER. NO ADDITIONAL COMPENSATION RECEIVED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Noah Kessler'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

June 4, 2024 - Present

BROADSPAN ASSET MANAGEMENT LLC

Office #1: 1441 Brickell Ave. Suite 1550, Miami, FL 33131

RIA

CRD#: 329579

MIAMI, FL

Current

June 29, 2006 - Present

BROADSPAN SECURITIES LLC

Office #1: 1441 Brickell Avenue Suite 1550, Miami, FL 33131

CRD#: 114423

Miami, FL

Past

June 15, 2005 - April 19, 2006

BNY CAPITAL MARKETS INC.

CRD#: 18303

NEW YORK, NY

Past

August 4, 2003 - May 16, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 24, 2001 - May 10, 2002

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

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
(6/4/2024)

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

IAR

Series 66

Date: 5/30/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/25/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/23/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 6/6/2017

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BROADSPAN ASSET MANAGEMENT LLC

CRD#: 329579 / SEC#:

Florida

Registered Investment Advisory firm - (6/4/2024 Approved)

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Contact information

Main Address

1441 Brickell Ave. Suite 1550, Miami, FL 33131

Mailing Address

Phone number

(305) 424-3400

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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

Noah Kessler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Noah Kessler's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROADSPAN SECURITIES LLC

BNY CAPITAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

VERAVEST INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/30/2024

Series 63

Date: 8/25/2003

SIE

Date: 10/1/2018

Series 7

Date: 8/23/2001

Series 14

Date: 1/2/2023

Series 24

Date: 6/6/2017

FINRA

Current Firm

BROADSPAN ASSET MANAGEMENT LLC

Contact information

Documents

Red Flags

Company Information

BROADSPAN ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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