James W. Noack

MADISON AVENUE SECURITIES

Benicia, CA

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CRD#: 4627271

Professional summary

James Walter Noack, who also goes by Jim Noack, is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Benicia, California.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. James has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Noack

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) - RIA

Click below to view James Walter Noack's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James Walter Noack's CRS (Customer Relationship Summary).

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

July 2, 2021 - Present

MADISON AVENUE SECURITIES, LLC

RIA

CRD#: 23224

Benicia, CA

Current

February 9, 2022 - Present

MADISON AVENUE SECURITIES, LLC

RIA

CRD#: 23224

Benicia, CA

Past

May 31, 2019 - May 12, 2021

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

San Ramon, CA

Past

May 31, 2019 - May 12, 2021

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

San Ramon, CA

Past

February 5, 2010 - May 31, 2019

MADISON AVENUE SECURITIES, LLC

RIA

CRD#: 23224

WALNUT CREEK, CA

Past

December 22, 2009 - May 31, 2019

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

WALNUT CREEK, CA

Past

January 30, 2003 - April 12, 2004

SIGMA FINANCIAL CORPORATION

CRD#: 14303

ANN ARBOR, MI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MADISON AVENUE SECURITIES, LLC

ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES

CRD#: 23224 / SEC#: 801-69919, 8-40426

RIA

Registered Investment Advisory firm - SEC (2/24/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(7/2/2021)

California
(2/10/2022)

Illinois
(5/18/2022)

Oregon
(10/30/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/1/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/7/2003

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: 12/21/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MADISON AVENUE SECURITIES, LLC

ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES

CRD#: 23224 / SEC#: 801-69919, 8-40426

RIA

Registered Investment Advisory firm - SEC (2/24/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

13500 Evening Creek Dr N #555, San Diego, CA 92128

Mailing Address

13500 Evening Creek Dr N #555, San Diego, CA 92128

Phone number

(858) 207-1300

Established

Delaware since 05/05/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MADISON AVENUE SECURITIES FORM ADV PART 2A 3-26-2025 (10/3/2025)

MADISON AVENUE SECURITIES WRAP PROGRAM BROCHURE 3-26-2025 (10/3/2025)

Direct owners and executive officers

Name	Position	CRD#
KT EQUITY PARTNERS II, LLC	DIRECT OWNER
CALLANAN, DAVID JAMES	MANAGER	4237166
FIXSEN, VILAYPHONE	CHIEF OPERATING OFFICER	4585926
JENSEN, GAIL MARIE	DEPUTY CHIEF COMPLIANCE OFFICER	1943705
MCNEES, MARTIN WILLIAM	PRESIDENT	3168410
PIERSON, MELISSA KAY	CHIEF COMPLIANCE OFFICER	1685017
WOODS, SANDRA ANN	FINOP	6200533

Regulatory assets under management

Total Number of Accounts	14,100
AUM (Assets Under Management)	$ 2,038,801,712

Disclosures

Regulatory Event	8
Arbitration	1

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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James W. Noack

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Walter Noack's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Walter Noack's CRS (Customer Relationship Summary).

Certified licenses

Experience

MADISON AVENUE SECURITIES, LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

MADISON AVENUE SECURITIES, LLC

MADISON AVENUE SECURITIES, LLC

SIGMA FINANCIAL CORPORATION

Primary Firm SEC Registration

MADISON AVENUE SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/1/2010

Series 63

Date: 2/7/2003

SIE

Date: 10/1/2018

Series 7

Date: 12/21/2009

FINRA

Current Firm

MADISON AVENUE SECURITIES, LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MADISON AVENUE SECURITIES, LLC

TRUST BUT VERIFY

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