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NOAH RUBIN
NOAH DAVID RUBIN, NOAH DAVID DAVID RUBIN
CRD#: 5445420
IA
Investment Adviser
B
Broker Regulated by FINRA
WELLS FARGO CLEARING SERVICES, LLCCRD#: 19616 1675 N MILITARY TRAIL STE 500
BOCA RATON, FL 33486
+1
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2015 (6 years)2 FIRMS2015 - 2021 (6 years)2 FIRMS2021 - Present (3 years)
License(s)

State Registrations

B
California

B
New Jersey

B
Connecticut

B
New York

B
Delaware

B
North Carolina

B
Florida

B
Pennsylvania

IA
Florida

B
South Carolina

B
Illinois

B
Tennessee

B
Maine

B
Texas

B
Maryland

IA
Texas

B
Massachusetts

B
Vermont

B
Nevada

B
Virginia

B
New Hampshire

SRO Registrations

B
FINRA

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1675 N MILITARY TRAIL STE 500, BOCA RATON, FL 33486
Registered with this firm since 9/22/2021

IA
WELLS FARGO ADVISORS (CRD#:19616)
1675 N MILITARY TRAIL STE 500, BOCA RATON, FL 33486
Registered with this firm since 9/22/2021

Previous Registration(s)
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IA
05/04/2015 - 10/12/2021 UBS FINANCIAL SERVICES INC. (CRD#:8174) BOCA RATON, FL
B
04/30/2015 - 10/12/2021 UBS FINANCIAL SERVICES INC. (CRD#:8174) BOCA RATON, FL
IA
03/24/2009 - 05/04/2015 OPPENHEIMER & CO. INC. (CRD#:249) BOCA RATON, FL
B
03/18/2009 - 05/04/2015 OPPENHEIMER & CO. INC. (CRD#:249) BOCA RATON, FL
IA
12/01/2007 - 03/16/2009 STANFORD GROUP COMPANY (CRD#:39285) BOCA RATON, FL
B
11/05/2007 - 03/16/2009 STANFORD GROUP COMPANY (CRD#:39285) BOCA RATON, FL
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.

Click here for more information about how to check on an investment professional.

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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