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GN

Gerald C. Nobles

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CRD#: 836820
GN

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.

Gerald Cowden Nobles JR was a registered financial professional .

Gerald is a previously registered financial professional and started their career in finance in 1977. Gerald had worked at 5 firms and has passed the Series 63, Series 6, Series 5, Series 7, Series 53, Series 24, Series 4 and Series 12 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)

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

September 3, 1996 - December 31, 1998

ARK FUNDS DISTRIBUTORS, LLC

BD
CRD#: 17685
PORTLAND, ME
Past

May 17, 1984 - September 16, 1987

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

June 17, 1981 - May 29, 1984

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

September 26, 1978 - August 3, 1981

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

April 21, 1977 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

BD
CRD#: 572

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
Series 63
Date: 5/16/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 5/16/1996
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 5
Date: 10/6/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/1977
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/31/1985
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/25/1985
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/9/1983
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 12
Date: 3/19/1983
NYSE Branch Manager Examination

Current Firm

AF
ARK FUNDS DISTRIBUTORS, LLC
ARK FUNDS DISTRIBUTORS, LLC | KEFFER CAPITAL MANAGEMENT INC. | FORUM FINANCIAL SERVICES, INC.

CRD#: 17685 / SEC#: , 8-35592

BD
Terminated by SEC on 02/16/2004
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/30/2001
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FORUM FINANCIAL GROUP, LLC100% OWNER
CHERN, NANETTE KINGCHIEF COMPLIANCE OFFICER1718029
GOLDSTEIN, DAVID IVESSECRETARY2631725
JOHNSON, CHARLES FREDRICKTREASURER4162273
KEFFER, JOHN YOUNGPRESIDENT1010213
NILES, BENJAMIN LODERVICE PRESIDENT1867838

Disclosures

Regulatory Event1

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

ARK FUNDS DISTRIBUTORS, LLC

CRD#: 17685

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