Lisa NoonanCRD Number: 3140844
Current Firm: Wells Fargo Advisors Financial Network, LLC
Lisa Noonan (CRD# 3140844) is an Investment Advisor Representative working at Wells Fargo Advisors Financial Network, LLC in Rochester, NY and has over 18 years of experience in the finance industry.
Wall Street Financial Group, Inc.
American Portfolios Advisors, Inc.
Sage, Rutty & Company, Inc.
|Wells Fargo Advisors Financial Network LLC||Rochester, NY||Feb 2011 - Current||5|
|Morgan Stanley Smith Barney||Rochester, NY||Jun 2009 - Feb 2011||1|
|Morgan Stanley & Company, Incorporated||Rochester, NY||Apr 2007 - Jun 2009||2|
|Morgan Stanley Dw Inc.||Rochester, NY||Mar 2003 - Apr 2007||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 1998|
|S65||NASAA Investment Advisors Law Examination||Nov 2007|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management38,415MILLIONS
Total Number of Accounts131,465ACCOUNTS
Average Account Value$292,208
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV