Jerry D. Trahan
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.
Jerry Don Trahan was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 2002. Jerry had worked at 4 firms and has passed the Series 63, Series 65, Series 22 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2014 - June 20, 2014
NOBLES & RICHARDS, INC.
April 6, 2010 - December 17, 2013
RED RIVER SECURITIES, LLC
March 18, 2005 - February 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 18, 2005 - February 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 2004 - March 21, 2005
M.L. STERN & CO., LLC.
February 6, 2002 - March 21, 2005
M.L. STERN & CO., LLC.
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
Current Firm
NOBLES & RICHARDS, INC.
CRD#: 146870 / SEC#: , 8-67859
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
