Robert C. Noe
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.
Robert Collins Noe, who also goes by Bob Noe, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1980. Robert had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2001 - December 31, 2002
SUMMIT FINANCIAL GROUP INC
August 31, 2001 - September 28, 2015
SUMMIT BROKERAGE SERVICES, INC.
March 27, 1996 - May 23, 2000
SCHLITT INVESTOR SERVICES, INC.
March 17, 1994 - July 11, 1994
MERIDIAN, DUNHILL & CO., INC.
March 2, 1993 - February 11, 1994
AMERIPRISE ADVISOR SERVICES, INC.
May 1, 1991 - October 6, 1992
D.E. FREY & COMPANY, INC.
February 12, 1990 - February 22, 1991
MORGAN STANLEY DW INC.
February 15, 1988 - February 27, 1990
LEHMAN BROTHERS INC.
October 24, 1980 - February 15, 1988
E. F. HUTTON & COMPANY 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
Series 8
Date: 6/17/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SUMMIT FINANCIAL GROUP INC
CRD#: 109485 / SEC#: 801-56645
Contact information
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.
