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David T. Noell

Some features on this profile are disabled
CRD#: 6814819
DN

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.

David Thomas Noell, who also goes by David Noell, David Thomas Noell, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2017. David had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Noell | David Thomas Noell

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.
Uber; Transportation/Rideshare; Non-Investment related; San Antonio; Affiliation Start Date: 4/15/2019; Title: Driver; Duties: Driving Customers to their desired location; 0 hours devoted to the outside business each month during securities trading hours; 32 hours devoted to the outside business each month outside of securities trading hours. ///// Piatti Restaurant; Not investment-related; San Antonio, TX; Affiliation started 03/04/2020; Title/Duties: Server; Serve food and beverages; No time is devoted during securities trading hours; 40 hours are devoted each month outside securities trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 21, 2025 - September 4, 2025

SENDERO WEALTH MANAGEMENT, LLC

RIA
CRD#: 145594
SAN ANTONIO, TX
Past

July 21, 2025 - September 4, 2025

SENDERO SECURITIES, LLC

BD
CRD#: 146627
SAN ANTONIO, TX
Past

March 29, 2018 - June 27, 2025

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
San Antonio, TX
Past

March 28, 2018 - June 27, 2025

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
San Antonio, TX
Past

December 5, 2017 - February 14, 2018

THRIVENT INVESTMENT MANAGEMENT INC.

RIA
CRD#: 18387
SAN ANTONIO, TX
Past

October 10, 2017 - February 14, 2018

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
SAN ANTONIO, TX

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".
SW
SENDERO WEALTH MANAGEMENT, LLC
E-WEALTH BY SENDERO | SENDERO WEALTH MANAGEMENT, LLC | SENDERO SECURITIES, LLC | EWEALTH BY SENDERO

CRD#: 145594 / SEC#: 801-68572

RIA
Registered Investment Advisory firm - (11/30/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/1/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/10/2017
General Securities Representative Examination

Current Firm

SW
SENDERO WEALTH MANAGEMENT, LLC
E-WEALTH BY SENDERO | SENDERO WEALTH MANAGEMENT, LLC | SENDERO SECURITIES, LLC | EWEALTH BY SENDERO

CRD#: 145594 / SEC#: 801-68572

RIA
Registered Investment Advisory firm - (11/30/2007 Approved)
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Contact information

Main Address
250 W. Nottingham Suite 300, San Antonio, TX 78209
Mailing Address
Phone number
(210) 805-0171
Established
Firm type
Fiscal year end
# of Employees
42

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SENDERO WEALTH - FORM ADV PART 2A BROCHURE - AUGUST 2020 (3/20/2025)

Regulatory assets under management

Total Number of Accounts1,842
AUM (Assets Under Management)$ 5,823,154,458

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.

Company Information

SENDERO WEALTH MANAGEMENT, LLC

CRD#: 145594

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