TN
Tyson A. Noel
CETERA INVESTMENT ADVISERS LLC
HANOVER, PA 17331
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CRD#: 4704556
TN
Professional summary
Tyson Andrew Noel is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hanover, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Hanover, Pennsylvania.
Tyson is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Tyson has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
(1) NAME OF OTHER BUSINESS: WEST MANHEIM ELEMENTARY FOOTBALL ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 1418 BALTIMORE STREET SUITE 12-234 HANOVER, PA 17331; NATURE OF BUSINESS: NON PROFIT ; START DATE: 8/2022; POSITION/TITLE/RELATIONSHIP: VICE-PRESIDENT/TREASURER ; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: WILL VOTE ON ISSUES FOR THE OPERATION OF THE YOUTH PROGRAM, TRACK DEPOSITS AND WITHDRAWALS ON CHECKING ACCOUNT; (2) NAME OF OTHER BUSINESS: RIGGLE WEALTH GROUP, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Tyson Andrew Noel's 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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 100 Filbert St, Hanover, PA 17331RIA
CRD#: 105644
HANOVER, PA
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 100 Filbert St, Hanover, PA 17331BD
CRD#: 13572
Hanover, PA
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
HANOVER, PA
Past
April 17, 2019 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
HANOVER, PA
Past
January 22, 2019 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
HANOVER, PA
Past
June 20, 2007 - October 23, 2018
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
OWINGS MILLS, MD
Past
February 21, 2006 - April 30, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
HUNT VALLEY, MD
Past
December 15, 2004 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
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
RR
Florida(11/29/2023)
RR
Maryland(9/20/2019)
RR
New Jersey(6/24/2025)
RR
North Carolina(6/18/2020)
RR
Pennsylvania(9/20/2019)
IAR
Pennsylvania(6/29/2023)
RR
South Carolina(9/26/2019)
RR
Texas(1/7/2022)
IAR
Texas(6/29/2023)
RR
Virginia(1/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
