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JAMES PAUL NOE
CRD#: 1023502
IA
B
CAPITAL ANALYSTSCRD#: 162200 500 WATERS EDGE - STE 150
LOMBARD, IL 60148
LOMBARD, IL 60148
LINCOLN INVESTMENTCRD#: 519 SUITE 150
500 WATERS EDGE
LOMBARD, IL 60148
500 WATERS EDGE
LOMBARD, IL 60148
0
Disclosures
42
Years of Experience
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State Registrations
B
Arizona 2/1/2005
B
Michigan 4/11/2008
B
Colorado 1/3/2007
B
Missouri 1/3/2023
B
Florida 2/1/2005
B
Nevada 1/3/2019
B
Illinois 2/1/2005
B
New Mexico 1/3/2022
IA
Illinois 3/7/2006
B
North Carolina 1/10/2020
B
Indiana 2/1/2005
B
Tennessee 1/3/2022
B
Maine 3/4/2015
B
Washington 2/1/2005
B
Massachusetts 1/3/2022
B
Wisconsin 2/1/2005
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 6/26/2014
IA
Registered with this firm since 3/7/2006
B
Registered with this firm since 2/1/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 08/01/2000 - 01/31/2005 | ELGIN, IL | |
B | 02/28/1986 - 08/01/2000 | ELGIN, IL | |
B | 03/31/1982 - 06/16/1986 | ||
B | 05/14/1985 - 03/04/1986 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.