Joseph H. Nolan
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.
Joseph H Nolan, who also goes by Joseph Henry Nolan, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2011. Joseph had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2015 - April 25, 2017
RESOURCE SECURITIES LLC
August 2, 2013 - April 27, 2015
PNC WEALTH MANAGEMENT LLC
July 24, 2013 - April 27, 2015
PNC WEALTH MANAGEMENT LLC
January 30, 2012 - July 11, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 30, 2012 - July 11, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 2011 - December 21, 2011
SECURIAN FINANCIAL SERVICES, INC.
July 27, 2011 - December 21, 2011
SECURIAN FINANCIAL SERVICES, 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
Exams
Current Firm
RESOURCE SECURITIES LLC
CRD#: 133022 / SEC#: , 8-66669
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAI VENTURES LLC | SOLE SHAREHOLDER | |
| BLOCK, LAWRENCE STEVEN | PRESIDENT, CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER | 3006613 |
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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