Matthew W. Noonan
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.
Matthew William Noonan, who also goes by Matthew W Noonan, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2001. Matthew had worked at 9 firms and has passed the Series 66, Series 63, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2012 - March 14, 2013
MORGAN STANLEY
August 9, 2012 - March 14, 2013
MORGAN STANLEY
July 5, 2006 - October 31, 2006
TAFFERER TRADING, LLC
September 26, 2005 - February 28, 2006
CUSO FINANCIAL SERVICES, L.P.
September 26, 2005 - February 28, 2006
CUSO FINANCIAL SERVICES, L.P.
July 14, 2005 - October 21, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
February 24, 2004 - February 18, 2005
TD AMERITRADE, INC.
February 12, 2004 - February 18, 2005
TD AMERITRADE, INC.
April 14, 2003 - October 1, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
March 21, 2003 - October 1, 2003
IDS LIFE INSURANCE COMPANY
March 21, 2003 - October 1, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
December 17, 2001 - June 6, 2002
KERSHNER TRADING GROUP, LLC
September 11, 2001 - October 24, 2001
PROTRADER SECURITIES L.P.
September 11, 2001 - December 11, 2001
KERSHNER TRADING GROUP, LLC
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 1/28/2002
Limited Representative-Equity Trader ExamCurrent Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
