Curtis P. Noel
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.
Curtis Paul Noel was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 2003. Curtis had worked at 5 firms and has passed the Series 66 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 20, 2011 - December 31, 2011
CHIEF ADVISORS CORP
June 9, 2010 - December 31, 2012
FIRST ASSET FINANCIAL INC.
April 21, 2006 - June 2, 2008
CETERA INVESTMENT SERVICES LLC
January 25, 2005 - August 3, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 23, 2003 - September 1, 2004
THRIVENT INVESTMENT MANAGEMENT INC.
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
CHIEF ADVISORS CORP
CRD#: 125261 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 344 |
| AUM (Assets Under Management) | $ 92,800,290 |
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.
