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JACK TRAVIS NOE
JACK NOE
CRD#: 1226622
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Investment Adviser
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Previous Broker
OAK ASSET MANAGEMENT, LLCCRD#: 287856 2535 Townsgate Road, Suite 300
Westlake Village, CA 91361
Registration History
1985199019952000200520102015202020252 FIRMS2004 - 2017 (13 years)IAOAK ASSET MANAGEMENT, LLC (CRD# 287856)2017 - Present (7 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1986 - 2004 (17 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1984 - 1986 (2 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1997 - 2004 (6 years)
Disclosure(s)
View By:
2/1/1998
Customer Dispute
Settled
License(s)

State Registrations

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California 5/8/2017

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Texas 5/8/2017

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Nevada 8/11/2021

Current Registration(s)
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OAK ASSET MANAGEMENT, LLC (CRD#:287856)
2535 Townsgate Road, Suite 300, Westlake Village, CA 91361
Registered with this firm since 5/8/2017

Previous Registration(s)
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04/16/2004 - 05/09/2017 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) WESTLAKE VILLAGE, CA
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03/22/2004 - 05/09/2017 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) WESTLAKE VILLAGE, CA
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07/08/1997 - 04/01/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) WOODLAND HILLS, CA
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10/13/1986 - 04/01/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
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02/03/1984 - 10/29/1986 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
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Broker
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Investment Adviser
Disclosures
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.