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JEFFREY DONALD NOARD
CRD#: 1983392
PR
Previously Registered Investment Adviser
PR
Previously Registered Broker
The representative was previously registered both as a broker and as an investment adviser. Visit IAPD for more information on this individual's investment adviser record. Go to SEC Site
Registration History
19901995200020052010201520202025BEMERSON EQUITY LLC (CRD# 130032)2020 - 2023 (3 years)BCABOT LODGE SECURITIES LLC (CRD# 159712)2013 - 2020 (7 years)BALLIED BEACON PARTNERS, INC. (CRD# 46227)2011 - 2013 (2 years)BAMERICAN BEACON PARTNERS, INC. (CRD# 15791)2010 - 2011 (<1 year)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2008 - 2010 (1 year)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2008 (1 year)BMORGAN STANLEY DW INC. (CRD# 7556)2006 - 2007 (1 year)BSTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2000 - 2006 (5 years)BDAIN RAUSCHER INCORPORATED (CRD# 31194)1998 - 2000 (2 years)BDAIN RAUSCHER INCORPORATED (CRD# 7600)1993 - 1998 (4 years)BEVEREN SECURITIES, INC. (CRD# 19616)1990 - 1993 (3 years)BBLUNT ELLIS & LOEWI INCORPORATED (CRD# 7580)1989 - 1990 (<1 year)
Disclosure(s)
View By:
9/11/2024
Customer Dispute
Pending
9/10/2024
Customer Dispute
Pending
3/25/2024
Customer Dispute
Pending
11/16/2023
Customer Dispute
Pending
5/30/2023
Customer Dispute
Settled
2/16/2023
Customer Dispute
Settled
1/4/2023
Customer Dispute
Settled
7/13/2022
Customer Dispute
Settled
11/25/2014
Regulatory
Final
6/4/2010
Employment Separation After Allegations
4/17/1990
Criminal
Final Disposition
Previous Registration(s)
th hidden textth hidden textNameLocation
B
05/29/2020 - 12/08/2023 EMERSON EQUITY LLC (CRD#:130032) Menomonee Falls, WI
B
06/14/2013 - 06/26/2020 CABOT LODGE SECURITIES LLC (CRD#:159712) MENOMONEE FALLS, WI
B
02/22/2011 - 07/15/2013 ALLIED BEACON PARTNERS, INC. (CRD#:46227)
FINRA expelled the firm on 12/19/2013
MILWAUKEE, WI
B
07/19/2010 - 02/22/2011 AMERICAN BEACON PARTNERS, INC. (CRD#:15791) MILWAUKEE, WI
B
08/28/2008 - 06/23/2010 WELLS FARGO ADVISORS, LLC (CRD#:19616) WAUKESHA, WI
B
04/02/2007 - 09/03/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WAUWATOSA, WI
B
02/17/2006 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) WAUWATOSA, WI
B
03/08/2000 - 02/21/2006 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) MILWAUKEE, WI
B
03/02/1998 - 03/02/2000 DAIN RAUSCHER INCORPORATED (CRD#:31194) NEW YORK, NY
B
08/27/1993 - 03/02/1998 DAIN RAUSCHER INCORPORATED (CRD#:7600)
B
09/04/1990 - 09/10/1993 EVEREN SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
11/08/1989 - 09/04/1990 BLUNT ELLIS & LOEWI INCORPORATED (CRD#:7580)
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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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.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

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.

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