Bryan R. Noonan
Professional summary
Bryan Robert Noonan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Bryan is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, Bryan had worked at 9 firms, which includes EDWARD JONES, RAYMOND JAMES FINANCIAL SERVICES ADVISORS INC, RAYMOND JAMES FINANCIAL SERVICES INC., JUNCTURE WEALTH STRATEGIES LLC, WELLS FARGO CLEARING SERVICES LLC, EAGLE STRATEGIES LLC, NYLIFE SECURITIES LLC, WELLS FARGO INVESTMENTS LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2024 - June 26, 2024
EDWARD JONES
February 9, 2024 - June 26, 2024
EDWARD JONES
July 29, 2021 - March 7, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 28, 2021 - March 7, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 2, 2020 - September 3, 2021
JUNCTURE WEALTH STRATEGIES, LLC
October 17, 2013 - September 3, 2020
EDWARD JONES
September 20, 2013 - September 3, 2020
EDWARD JONES
October 31, 2011 - September 23, 2013
WELLS FARGO CLEARING SERVICES, LLC
October 31, 2011 - September 23, 2013
WELLS FARGO CLEARING SERVICES, LLC
August 22, 2011 - October 28, 2011
EAGLE STRATEGIES LLC
November 12, 2009 - October 28, 2011
NYLIFE SECURITIES LLC
June 11, 2008 - August 11, 2009
WELLS FARGO CLEARING SERVICES, LLC
June 4, 2008 - August 11, 2009
WELLS FARGO CLEARING SERVICES, LLC
August 1, 2006 - May 16, 2008
WELLS FARGO INVESTMENTS, LLC
July 18, 2006 - May 16, 2008
WELLS FARGO INVESTMENTS, LLC
January 17, 2005 - September 6, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 6, 2004 - September 6, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
