Michael B. Noel
Professional summary
Michael B Noel, who also goes by Michael Bernard Noel, Michael Noel, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Raleigh, North Carolina.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2009. Michael has worked at 8 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael B Noel's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 4, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 3100 Smoketree Court Suite 1004, Raleigh, NC 27604February 7, 2019 - April 4, 2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 14, 2014 - January 14, 2019
NATIONWIDE INVESTMENT ADVISORS, LLC
March 7, 2014 - January 14, 2019
NATIONWIDE INVESTMENT SERVICES CORPORATION
December 20, 2012 - June 28, 2013
WELLS FARGO CLEARING SERVICES, LLC
December 20, 2012 - June 28, 2013
WELLS FARGO CLEARING SERVICES, LLC
September 30, 2011 - December 21, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 30, 2011 - December 21, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 28, 2010 - September 6, 2011
MORGAN STANLEY
July 28, 2010 - September 6, 2011
MORGAN STANLEY
March 3, 2009 - September 15, 2009
EDWARD JONES
February 10, 2009 - September 15, 2009
EDWARD JONES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/4/2022)
Exams
FINRA
Current Firm
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109Raleigh, NC 27604TRUST BUT VERIFY
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