Chad Noble: $90K Complaint Against Ameriprise, Ex-FSC Advisor

A recent investor complaint against The Villages, Florida financial advisor Chad Noble (CRD# 4774817) alleges misconduct relating to alternative investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.

Mr. Noble’s BrokerCheck report discloses one recent investor complaint. Filed in January 2025, it alleges that as a representative of FSC Securities Corporation, he  recommended unsuitable alternative investments and over-concentrated the client’s account. The pending complaint alleges damages of $90,000.

For reference, “over-concentration,” also referred to as lack of diversification, is the investment equivalent of putting too many eggs in one basket, according to FINRA’s investor resources. Th regulator advises that investors can avoid the risks of over-concentration by diversifying their portfolios across and within major asset classes, rebalancing on a regular basis, conducting due diligence into the underlying stocks or bonds in any mutual funds and exchange-traded funds they’re investing in, and pay close attention to the liquidity of their various investments.

According to the Financial Industry Regulatory Authority, Chad Noble holds 20 years of securities industry experience. Based in The Villages, Florida, he has been registered as a broker and an investment advisor with Ameriprise Financial Services since 2018. His past registrations include FSC Securities Corporation (2014-2018), Morgan Stanley (2012-2014), National Planning Corporation (2007-2012), and Securities America (2004-2007). His credentials include the passage of four securities industry qualifying exams: the Uniform Combined State Law Examination, or Series 66; the Uniform Securities Agent State Law Examination, or Series 63; the Securities Industry Essentials Examination, or SIE; and the General Securities Representative Examination, or Series 7. He holds 50 state licenses. (Information current as of April 13, 2025.)

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