Clare Nolan
Professional summary
Clare Nolan is a registered financial professional currently at TOCQUEVILLE SECURITIES L.P. located in Vero Beach, Florida.
Clare is registered as a RR (Registered Representative) and started their career in finance in 1980. Clare has worked at 6 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53, Series 14, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Clare Nolan's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 4, 2013 - Present
TOCQUEVILLE SECURITIES L.P.
Office #1: 2911 Cardinal Drive, Vero Beach, FL 32963Office #2: 40 West 57th Street 19th Floor, New York, NY, 10019Office #3: 40 West 57th Street 19th Floor, New York, NY, 10019May 8, 1991 - February 18, 2014
THE WINCHESTER GROUP, INC.
January 26, 1989 - October 1, 1991
THE STAMFORD COMPANY, INC.
February 4, 1985 - January 26, 1989
STAMFORD CAPITAL, STERLING GRACE & CO., INC.
February 1, 1983 - December 17, 1984
FAHNESTOCK INTERNATIONAL INC.
August 19, 1980 - February 2, 1983
BURGESS & LEITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/10/2015)
(12/4/2013)
(12/4/2013)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 4/27/1992
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
TOCQUEVILLE SECURITIES L.P.
CRD#: 26001 / SEC#: , 8-42223
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOCQUEVILLE ASSET MANAGEMENT L.P. | LIMITED PARTNER | |
| CHUN, YUEN NA | FINOP | 2219603 |
| GRAHAM, KELSEY DUBOIS III | CHIEF COMPLIANCE OFFICER | 5976494 |
| KLEINSCHMIDT, ROBERT WILLIAM | CEO & GSP | 855215 |
| SCHLESINGER, SCOTT IRA | PRESIDENT, CHIEF OPERATING OFFICER & GSP | 1252675 |
| TOCQUEVILLE MANAGEMENT CORPORATION | GENERAL PARTNER |
Disclosures
| Regulatory Event | 4 |
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
TOCQUEVILLE SECURITIES L.P.
CRD#: 26001Vero Beach, FL 32963TRUST BUT VERIFY
Monitor Clare Nolan
Get automatic monthly alerts on:
