David J. 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.
David J Noonan, who also goes by David John Noonan, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2002. David had worked at 8 firms and has passed the Series 66, Series 7TO, SIE, Series 55 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
September 19, 2016 - March 10, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 19, 2016 - March 10, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 4, 2015 - August 16, 2016
TD AMERITRADE, INC.
March 4, 2015 - August 16, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 4, 2015 - August 16, 2016
TD AMERITRADE, INC.
March 30, 2010 - November 6, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 30, 2010 - November 6, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 5, 2008 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 5, 2008 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 8, 2006 - October 31, 2007
PENSION PLANNERS SECURITIES, INC.
November 7, 2006 - October 31, 2007
PENSION PLANNERS SECURITIES, INC.
August 3, 2005 - May 1, 2006
TAFFERER TRADING, LLC
February 27, 2004 - May 17, 2005
CITICORP INVESTMENT SERVICES
July 30, 2002 - February 5, 2003
UBS FINANCIAL SERVICES INC.
June 24, 2002 - February 5, 2003
UBS FINANCIAL SERVICES INC.
March 14, 2002 - June 14, 2002
SECURIAN FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 7TO
Date: 3/24/2024
General Securities Representative ExaminationSeries 55
Date: 3/2/2006
Limited Representative-Equity Trader ExamCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
