Noelle E. Williams
Professional summary
Noelle Elaina Williams is a registered financial professional currently at NUVEEN SECURITIES, LLC located in New York, New York.
Noelle is registered as a RR (Registered Representative) and started their career in finance in 2014. Noelle has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Noelle Elaina Williams's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 19, 2019 - Present
NUVEEN SECURITIES, LLC
Office #1: 730 Third Ave, New York, NY 10017June 28, 2018 - December 3, 2019
BROOKFIELD PRIVATE ADVISORS LLC
July 11, 2016 - September 15, 2016
STEPHENS
October 27, 2014 - March 20, 2015
RAYMOND JAMES & ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/19/2019)
(8/4/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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