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ANN-MARGRET STEPHANIE NOBLE

ANN-MARGRET S. NOBLE

HIGHTOWER SECURITIES | Investment Associate
Scottsdale, AZ 85255
Some features on this profile are disabled
CRD#: 4732415
ANN-MARGRET STEPHANIE NOBLE

Professional summary

ANN-MARGRET STEPHANIE NOBLE, who also goes by Ann-margret Stephanie Howard, is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in Scottsdale, Arizona.

ANN-MARGRET is registered as a RR (Registered Representative) and started their career in finance in 2004. ANN-MARGRET has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Biography

Ann-Margret is an Investment Associate who has been with WealthTrust Advisors since 2005. She possesses more than 30 years of financial services experience. Originally from Belize, Ann-Margret moved to the U.S. in 1975 and grew up in New York. She graduated from Western International University with a Bachelor of Science Degree in Business.
top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ann-Margret Stephanie Howard

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) - BD

Click below to view ANN-MARGRET STEPHANIE NOBLE'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

October 25, 2018 - Present

HIGHTOWER SECURITIES, LLC

Office #1: 17200 North Perimeter Drive Suite 203, Scottsdale, AZ 85255
BD
CRD#: 116681
Scottsdale, AZ
Past

March 31, 2008 - October 25, 2018

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
SCOTTSDALE, AZ
Past

October 31, 2005 - April 11, 2008

OSAIC SERVICES, INC.

BD
CRD#: 133763
SCOTTSDALE, AZ
Past

July 5, 2005 - October 31, 2005

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

January 13, 2004 - June 23, 2005

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
BIRMINGHAM, AL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Arizona
(10/25/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 1/16/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/16/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/9/2004
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HIGHTOWER SECURITIES, LLC
CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC

CRD#: 116681 / SEC#: , 8-53560

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Mailing Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Phone number
(312) 962-3800
Established
Illinois since 06/28/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HIGHTOWER HOLDING, LLCPARENT COMPANY
BESSO, DOUGLAS JOSEPHCTO1530829
COVIELLO, BARRY ANTHONYEXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION1813688
GRAY, KENDRACHIEF COMPLIANCE OFFICER4388082
GRAY, KENDRAMUNICIPAL PRINCIPAL4388082
KARL, MATTHEW JAMESPRINCIPAL FINANCIAL OFFICER (PFO) & FINOP5361093
SMITH, SCOTT DAVIDCHIEF EXECUTIVE OFFICER2523535

Disclosures

Regulatory Event5
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

HIGHTOWER SECURITIES, LLC

Investment AssociateCRD#: 116681Scottsdale, AZ 85255

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