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RN

Robert A. Noonan

DV SECURITIES
Chicago, IL 60605
Some features on this profile are disabled
CRD#: 7819086
RN

Professional summary

Robert Alan Noonan is a registered financial professional currently at DV SECURITIES, LLC located in Chicago, Illinois.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2024. Robert has worked at 2 firms and has passed the Series 7TO and Series 32 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Alan Noonan'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®
None

Experience

Current

January 8, 2025 - Present

DV SECURITIES, LLC

Office #1: 425 S. Financial Place Suite 2800, Chicago, IL 60605
BD
CRD#: 305134
Chicago, IL
Past

January 23, 2024 - October 11, 2024

MAREX CAPITAL MARKETS INC.

BD
CRD#: 161014
NEW YORK, NY

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

General Industry/Product Exam
RR
Series 7TO
Date: 1/22/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 32
Date: 2/28/2023
Limited Futures Exam-Regulation
SRO Registrations
RR
FINRA

Current Firm

DS
DV SECURITIES, LLC
DV SECURITIES, LLC

CRD#: 305134 / SEC#: , 8-70393

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 S. Financial Place Suite 2800, Chicago, IL 60605
Mailing Address
425 S. Financial Place Suite 2800, Chicago, IL 60605
Phone number
(312) 837-0649
Established
Delaware since 05/26/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DV GROUP, LLCMEMBER
CARLINO, ERIC JAMESTRADING PRINCIPAL - CEO2898311
HORGAN, RICHARD JOHNCHIEF FINANCIAL OFFICER6697860
KATZ, SHIFRACHIEF COMPLIANCE OFFICER

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

DV SECURITIES, LLC

CRD#: 305134Chicago, IL 60605

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