DN
David L. Noggle
GUARDIAN ASSET ADVISORS
MECHANICSBURG, PA 17055
Some features on this profile are disabled
CRD#: 5864626
DN
Professional summary
David Lee Noggle is a registered financial advisor currently at GUARDIAN ASSET ADVISORS, LLC located in Mechanicsburg, Pennsylvania and OSAIC WEALTH, INC. located in Mechanicsburg, Pennsylvania.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. David has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
***INSURANCE SALES POSITION: sales NATURE: Outside fixed insurance sales INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 10/09/2017 ADDRESS: 5000 Ritter Rd, suite 202, Mechanicsburg PA 17055, United States DESCRIPTION: Fixed insurance sales ***GUARDIAN ASSET ADVISORS LLC. POSITION: ADVISOR NATURE: REGISTERED INVESTMENT ADVISORY INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/01/2021 ADDRESS: 5000 Ritter Rd. Suite 202, Mechanicsburg PA 17055, United States DESCRIPTION: FEE BASED ASSET MANAGEMENT
CRS (Client Relationship Summary) - RIA
Click below to view David Lee Noggle's 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®
NoneExperience
Current
October 11, 2017 - Present
GUARDIAN ASSET ADVISORS, LLC
Office #1: 5000 Ritter Rd Ste 202, Mechanicsburg, PA 17055RIA
CRD#: 144958
MECHANICSBURG, PA
Current
June 14, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 5000 Ritter Rd Ste. 202, Mechanicsburg, PA 17055RIA
BD
CRD#: 23131
MECHANICSBURG, PA
Past
October 9, 2017 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
MECHANICSBURG, PA
Past
August 17, 2011 - October 11, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
MECHANICSBURG, PA
Past
December 15, 2010 - October 11, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
MECHANICSBURG, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GA
GUARDIAN ASSET ADVISORS, LLC
GUARDIAN ASSET ADVISORS LLC | SENTINEL INTEGRATED PLANNING | SECURITIES AMERICA | MARRAZZO & ASSOCIATES FINANCIAL GROUP | GUARDIAN ASSET ADVISORS, LLC
CRD#: 144958 / SEC#: 801-120536
RIA
Registered Investment Advisory firm - (3/15/2021 Approved)Florida
Registered Investment Advisory firm - (3/31/2021 Terminated)Maryland
Registered Investment Advisory firm - (3/31/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/7/2021 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
IAR
Pennsylvania(10/11/2017)
RR
Pennsylvania(6/14/2024)
RR
South Carolina(6/14/2024)
RR
South Dakota(6/14/2024)
RR
Tennessee(6/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GA
GUARDIAN ASSET ADVISORS, LLC
GUARDIAN ASSET ADVISORS LLC | SENTINEL INTEGRATED PLANNING | SECURITIES AMERICA | MARRAZZO & ASSOCIATES FINANCIAL GROUP | GUARDIAN ASSET ADVISORS, LLC
CRD#: 144958 / SEC#: 801-120536
RIA
Registered Investment Advisory firm - (3/15/2021 Approved)Florida
Registered Investment Advisory firm - (3/31/2021 Terminated)Maryland
Registered Investment Advisory firm - (3/31/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/7/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5000 Ritter Rd Suite 202, Mechanicsburg, PA 17055
Mailing Address
Phone number
(717) 691-3003
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,322 |
| AUM (Assets Under Management) | $ 245,593,025 |
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.
