Noah F. Caust
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.
Noah Francis Caust, CIMA® was a registered financial professional .
Noah is a previously registered financial professional and started their career in finance in 2008. Noah had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2021 - August 12, 2026
DIMENSIONAL FUND ADVISORS LP
August 18, 2021 - August 12, 2026
DFA SECURITIES LLC
October 23, 2012 - June 22, 2021
PAYCHEX SECURITIES CORPORATION
March 31, 2010 - September 18, 2012
ADP BROKER-DEALER, INC.
October 17, 2008 - February 24, 2010
JOHN HANCOCK DISTRIBUTORS LLC
June 24, 2008 - August 18, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
DIMENSIONAL FUND ADVISORS LP
CRD#: 106482 / SEC#: 801-16283
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
DIMENSIONAL FUND ADVISORS LP
CRD#: 106482 / SEC#: 801-16283
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,611 |
| AUM (Assets Under Management) | $ 835,713,261,770 |
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.
