Bryan Noonan: FINRA Bars Former Raymond James Advisor

Scottsdale, Arizona financial advisor Bryan Noonan (CRD# 4864372) was recently sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. Financial Industry Regulatory Authority records show that his registration history includes Edward Jones and Raymond James Financial Services.

A Letter of Acceptance, Waiver, and Consent (No. 2024081517201) describes FINRA’s disciplinary action against Mr. Noonan. Filed in June 2024, it states that in March 2024 Raymond James Financial Services disclosed Mr. Noonan’s voluntary termination as well as an internal review “relating to possible violations of the firm’s policies relating to outside business activities and selling away.” On June 10, 2024, the Letter states, the form disclosed that this review determined that Mr. Noonan as well as his customers “invested in an unapproved investment.”

In April 2024, following the initial disclosure by Raymond James, FINRA initiated an investigation into whether Mr. Noonan participated in undisclosed outside activities and private securities transactions. As part of this investigation, it sent him a request for documents and information, and in June 2024 he indicated that he would not produce such. As the letter notes, FINRA Rule 8210 requires persons under FINRA’s jurisdiction to comply with request for documents and information made during FINRA investigations. FINRA found that his refusal violated this rule. As such, it barred him from associating with any member firm in all capacities.

Edward Jones’s website, accessed on June 25, 2024, includes a profile of Mr. Noonan that describes his approach to servicing his clients. “Whether you’re planning for retirement, saving for college for children or grandchildren, or just trying to protect the financial future of the ones you care for the most, we can work together to develop specific strategies to help you achieve your goals,” it explains. “We can also monitor your progress to help make sure you stay on track or determine if any adjustments need to be made. Throughout it all, we’re dedicated to providing you top-notch client service.”

According to the Financial Industry Regulatory Authority, Bryan Noonan holds 18 years of securities industry experience. Most recently based in Scottsdale, Arizona, he has been registered with Edward Jones since February 2024. His previous registrations include Raymond James Financial Services, Juncture Wealth Strategies, Wells Fargo Advisors, Eagle Strategies, NYLife Securities, Wells Fargo Investments, and Merrill Lynch. His credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He has been barred from acting as a broker or otherwise associating with a broker-dealer firm. (Information current as of June 25, 2024.)

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