DAVID A. NOYES & COMPANY
CRD #205 SEC #801-67588 CHICAGO, IL 312-782-0400
SEC Registered Broker-Dealer
Total AUM
$134.3M
Discretionary
$9.9M
Employees
51
Clients
101
Accounts
362
Firm Details
- Organization Type
- Corporation
- State of Formation
- Illinois
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Oct 5, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BAUMAN, RUSSELL WARREN | I | DIRECTOR / CROP | NA | Control |
| BAUMAN, RUSSELL WARREN | I | DIRECTOR | NA | Control |
| BAUMAN, RUSSELL WARREN | I | DIRECTOR | NA | Control |
| BAUMAN, RUSSELL WARREN | I | DIRECTOR | NA | Control |
| BAUMAN, RUSSELL WARREN | I | DIRECTOR | NA | Control |
| BAUMAN, RUSSELL WARREN | I | DIRECTOR | NA | Control |
| BAUMAN, RUSSELL WARREN | I | DIRECTOR | NA | Control |
| BERNARDI, MARIO GIULIO | I | CHIEF OPERATING OFFICER / CROP/ SROP | NA | Control |
| BERNARDI, MARIO GIULIO | I | CHIEF OPERATING OFFICER / CROP/ SROP | NA | Control |
| BONO, THOMAS ALLEN | I | EVP/DIRECTOR | NA | Control |
| BONO, THOMAS ALLEN | I | EVP/DIRECTOR | NA | Control |
| BOUCKAERT, JOHN GEORGE | I | VP/DIRECTOR/TREASURER | NA | Control |
| BOUCKAERT, JOHN GEORGE | I | PRESIDENT/DIRECTOR/TREASURER | NA | Control |
| BOUCKAERT, JOHN GEORGE | I | PRESIDENT/DIRECTOR/TREASURER | NA | Control |
| BOUCKAERT, JOHN GEORGE | I | VP/DIRECTOR/TREASURER | NA | Control |
| BOUCKAERT, JOHN GEORGE | I | VP/DIRECTOR/TREASURER | NA | Control |
| BOUCKAERT, JOHN GEORGE | I | PRESIDENT/DIRECTOR/TREASURER | NA | Control |
| BOUCKAERT, JOHN GEORGE | I | PRESIDENT/DIRECTOR/TREASURER | NA | Control |
| CONENNA, DOMINIC | I | CHIEF FINANCIAL OFFICER | NA | |
| CONENNA, DOMINIC | I | CHIEF FINANCIAL OFFICER | NA | |
| CONENNA, DOMINIC | I | CHIEF FINANCIAL OFFICER | NA | |
| CONENNA, DOMINIC | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CONENNA, DOMINIC | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CONENNA, DOMINIC | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CONENNA, DOMINIC | I | CHIEF FINANCIAL OFFICER | NA | |
| CONENNA, DOMINIC | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CONENNA, DOMINIC | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CRAM, ROBERT LYNN | I | VP/DIRECTOR/GEN.COUNSEL/CHIEF COMPLIANCE OFFICER | NA | Control |
| CRAM, ROBERT LYNN | I | VP/DIRECTOR/GENERAL COUNSEL | NA | Control |
| CRAM, ROBERT LYNN | I | VP/DIRECTOR/GENERAL COUNSEL | NA | Control |
| CRAM, ROBERT LYNN | I | VP/DIRECTOR/GEN.COUNSEL/CHIEF COMPLIANCE OFFICER | NA | Control |
| CRAM, ROBERT LYNN | I | VP/DIRECTOR/GENERAL COUNSEL | NA | Control |
| CRAM, ROBERT LYNN | I | VP/DIRECTOR/GENERAL COUNSEL | NA | Control |
| CRAM, ROBERT LYNN | I | VP/DIRECTOR/GENERAL COUNSEL | NA | Control |
| CRAM, ROBERT LYNN | I | VP/DIRECTOR/GENERAL COUNSEL | NA | Control |
| CRAM, ROBERT LYNN | I | VP/DIRECTOR/GENERAL COUNSEL | NA | Control |
| CRAM, ROBERT LYNN | I | VP/DIRECTOR/GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER | NA | Control |
| CRAM, ROBERT LYNN | I | VP/DIRECTOR/GENERAL COUNSEL | NA | Control |
| CRAM, ROBERT LYNN | I | VP/DIRECTOR/GENERAL COUNSEL | NA | Control |
| CRAM, ROBERT LYNN | I | VP/DIRECTOR/GENERAL COUNSEL | NA | Control |
| CRAM, ROBERT LYNN | I | VP/DIRECTOR/GENERAL COUNSEL | NA | Control |
| CRAM, ROBERT LYNN | I | VP/DIRECTOR/GENERAL COUNSEL | NA | Control |
| CRAM, ROBERT LYNN | I | VP/DIRECTOR/GENERAL COUNSEL | NA | Control |
| CRAM, ROBERT LYNN | I | VP/DIRECTOR/GENERAL COUNSEL | NA | Control |
| CRAM, ROBERT LYNN | I | VP/DIRECTOR/GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER | NA | Control |
| CRAM, ROBERT LYNN | I | VP/DIRECTOR/GENERAL COUNSEL | NA | Control |
| CRAM, ROBERT LYNN | I | VP/DIRECTOR/GENERAL COUNSEL | NA | Control |
| DAMER, MARK WILLIAM | I | DIRECTOR | NA | Control |
| DAMER, MARK WILLIAM | I | DIRECTOR | NA | Control |
| DAMER, MARK WILLIAM | I | PRESIDENT | NA | Control |
| DAMER, MARK WILLIAM | I | PRESIDENT | NA | Control |
| DAMER, MARK WILLIAM | I | PRESIDENT | NA | Control |
| DAMER, MARK WILLIAM | I | PRESIDENT | NA | Control |
| DAMER, MARK WILLIAM | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | NA | Control |
| DAMER, MARK WILLIAM | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | NA | Control |
| DAMER, MARK WILLIAM | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | NA | Control |
| DAMER, MARK WILLIAM | I | DIRECTOR | NA | Control |
| DAMER, MARK WILLIAM | I | PRESIDENT | NA | Control |
| DAMER, MARK WILLIAM | I | PRESIDENT | NA | Control |
| DAMER, MARK WILLIAM | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | NA | Control |
| DAMER, MARK WILLIAM | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | NA | Control |
| GUTHRIE, JAMES WALTER | I | PRESIDENT, CEO | NA | Control |
| GUTHRIE, JAMES WALTER | I | PRESIDENT | NA | Control |
| HARMON, ARTHUR FARRELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HARMON, ARTHUR FARRELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HARMON, ARTHUR FARRELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HARMON, ARTHUR FARRELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HARMON, ARTHUR FARRELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HARMON, ARTHUR FARRELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HARMON, ARTHUR FARRELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HOLDER, DENISE H | I | DIRECTOR | NA | Control |
| HOLDER, DENISE H | I | DIRECTOR | NA | Control |
| HOLDER, DENISE H | I | DIRECTOR | NA | Control |
| HOLDER, DENISE H | I | DIRECTOR | NA | Control |
| HOLDER, DENISE H | I | DIRECTOR | NA | Control |
| HOLDER, DENISE H | I | DIRECTOR | NA | Control |
| HOLDER, DENISE H | I | DIRECTOR | NA | Control |
| HOLDER, DENISE H | I | DIRECTOR | NA | Control |
| HOLDER, DENISE H | I | DIRECTOR | NA | Control |
| HOLDER, DENISE H | I | DIRECTOR | NA | Control |
| HOLDER, DENISE H | I | DIRECTOR | NA | Control |
| LAZER, RICHARD IRWIN | I | VP/DIRECTOR | NA | Control |
| LAZER, RICHARD IRWIN | I | VP/DIRECTOR | NA | Control |
| LAZER, RICHARD IRWIN | I | VP/DIRECTOR | NA | Control |
| MAJOR, TIMOTHY GEORGE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAJOR, TIMOTHY GEORGE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAJOR, TIMOTHY GEORGE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAJOR, TIMOTHY GEORGE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| QUIRINI, ANTHONY MICHAEL | I | DIRECTOR | NA | Control |
| QUIRINI, ANTHONY MICHAEL | I | DIRECTOR | NA | Control |
| QUIRINI, ANTHONY MICHAEL | I | DIRECTOR | NA | Control |
| QUIRINI, ANTHONY MICHAEL | I | DIRECTOR | NA | Control |
| QUIRINI, ANTHONY MICHAEL | I | DIRECTOR | NA | Control |
| QUIRINI, ANTHONY MICHAEL | I | DIRECTOR | NA | Control |
| QUIRINI, ANTHONY MICHAEL | I | DIRECTOR | NA | Control |
| QUIRINI, ANTHONY MICHAEL | I | DIRECTOR | NA | Control |
| QUIRINI, ANTHONY MICHAEL | I | DIRECTOR | NA | Control |
| QUIRINI, ANTHONY MICHAEL | I | DIRECTOR | NA | Control |
| QUIRINI, ANTHONY MICHAEL | I | DIRECTOR | NA | Control |
| QUIRINI, ANTHONY MICHAEL | I | DIRECTOR | NA | Control |
| QUIRINI, ANTHONY MICHAEL | I | DIRECTOR | NA | Control |
| QUIRINI, ANTHONY MICHAEL | I | DIRECTOR | NA | Control |
| QUIRINI, ANTHONY MICHAEL | I | DIRECTOR | NA | Control |
| QUIRINI, ANTHONY MICHAEL | I | DIRECTOR | NA | Control |
| QUIRINI, ANTHONY MICHAEL | I | DIRECTOR | NA | Control |
| QUIRINI, ANTHONY MICHAEL | I | DIRECTOR | NA | Control |
| QUIRINI, ANTHONY MICHAEL | I | DIRECTOR | NA | Control |
| REED, JOHN CARRE | I | VP/DIRECTOR | NA | Control |
| REED, JOHN CARRE | I | VP/DIRECTOR | NA | Control |
| REED, JOHN CARRE | I | VP/DIRECTOR | NA | Control |
| REED, JOHN CARRE | I | VP/DIRECTOR | NA | Control |
| REED, JOHN CARRE | I | VP/DIRECTOR | NA | Control |
| REED, JOHN CARRE | I | VP/DIRECTOR | NA | Control |
| REED, JOHN CARRE | I | VP/DIRECTOR | NA | Control |
| REED, JOHN CARRE | I | VP/DIRECTOR | NA | Control |
| REYNOLDS, MATTHEW MARK | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| REYNOLDS, MATTHEW MARK | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| REYNOLDS, MATTHEW MARK | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| REYNOLDS, MATTHEW MARK | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| REYNOLDS, MATTHEW MARK | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| REYNOLDS, MATTHEW MARK | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| REYNOLDS, MATTHEW MARK | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | NA | Control |
| SMITHBERG, ROGER CRAIG | I | DIRECTOR | NA | Control |
| SMITHBERG, ROGER CRAIG | I | DIRECTOR | NA | Control |
| SMITHBERG, ROGER CRAIG | I | DIRECTOR | NA | Control |
| SMITHBERG, ROGER CRAIG | I | DIRECTOR | NA | Control |
| SMITHBERG, ROGER CRAIG | I | DIRECTOR | NA | Control |
| SMITHBERG, ROGER CRAIG | I | DIRECTOR | NA | Control |
| SMITHBERG, ROGER CRAIG | I | DIRECTOR | NA | Control |
| SMITHBERG, ROGER CRAIG | I | DIRECTOR | NA | Control |
| SMITHBERG, ROGER CRAIG | I | DIRECTOR | NA | Control |
| SMITHBERG, ROGER CRAIG | I | DIRECTOR | NA | Control |
| SMITHBERG, ROGER CRAIG | I | DIRECTOR | NA | Control |
| WYKRETOWICZ, ANDREW J. | I | DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| WYKRETOWICZ, ANDREW J. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WYKRETOWICZ, ANDREW J. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WYKRETOWICZ, ANDREW J. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WYKRETOWICZ, ANDREW J. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WYKRETOWICZ, ANDREW J. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WYKRETOWICZ, ANDREW J. | I | DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| WYKRETOWICZ, ANDREW J. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WYKRETOWICZ, ANDREW JANUSZ | I | CHIEF COMPLIANCE OFFICER | NA | |
| NOYES GROUP, LLC | DE | SOLE SHAREHOLDER | E | Control |
| BAYLEY, FRANK MOUNT | I | SHAREHOLDER | C | Control |
| BAYLEY, FRANK MOUNT | I | SHAREHOLDER | C | Control |
| BAYLEY, FRANK MOUNT | I | SHAREHOLDER | C | Control |
| BAYLEY, FRANK MOUNT | I | SHAREHOLDER | C | Control |
| BAYLEY, FRANK MOUNT | I | SHAREHOLDER | C | Control |
| BAYLEY, FRANK MOUNT | I | SHAREHOLDER | C | Control |
| BAYLEY, LOWRY HINCH | I | CHAIRMAN OF THE BOARD / CEO | C | Control |
| BAYLEY, LOWRY HINCH | I | CHAIRMAN OF THE BOARD / CEO | C | Control |
| BAYLEY, LOWRY HINCH | I | CHAIRMAN OF THE BOARD / CEO | C | Control |
| BAYLEY, LOWRY HINCH | I | CHAIRMAN OF THE BOARD / CEO | C | Control |
| BAYLEY, LOWRY HINCH | I | CHAIRMAN OF THE BOARD | C | Control |
| BAYLEY, LOWRY HINCH | I | CHAIRMAN OF THE BOARD, CEO | C | Control |
| BAYLEY, LOWRY HINCH | I | CHAIRMAN OF THE BOARD, CEO | C | Control |
| BAYLEY, LOWRY HINCH | I | CHAIRMAN OF THE BOARD, CEO | C | Control |
| BAYLEY, LOWRY HINCH | I | CHAIRMAN OF THE BOARD, CEO | C | Control |
| BAYLEY, LOWRY HINCH | I | CHAIRMAN OF THE BOARD | C | Control |
| BAYLEY, LOWRY HINCH | I | CHAIRMAN OF THE BOARD | C | Control |
| BAYLEY, LOWRY HINCH | I | CHAIRMAN OF THE BOARD | C | Control |
| BAYLEY, LOWRY HINCH | I | CHAIRMAN OF THE BOARD / CEO | C | Control |
| BAYLEY, LOWRY HINCH | I | CHAIRMAN OF THE BOARD, CEO | C | Control |
| BAYLEY, LOWRY HINCH | I | CHAIRMAN OF THE BOARD, CEO | C | Control |
| BAYLEY, LOWRY HINCH | I | CHAIRMAN OF THE BOARD | C | Control |
| BAYLEY, LOWRY HINCH | I | CHAIRMAN OF THE BOARD | C | Control |
| MURIN, PAUL EDWARD JR | I | PRESIDENT/DIRECTOR /SROP | C | Control |
| MURIN, PAUL EDWARD JR | I | PRESIDENT/DIRECTOR /SROP/CROP | C | Control |
| MURIN, PAUL EDWARD JR | I | PRESIDENT/DIRECTOR /SROP/CROP | C | Control |
| THE FRANK M. BAYLEY DYNASTY TRUST U/A DATED OCTOBER 11, 2012 | DE | SHAREHOLDER | C | Control |
| THE FRANK M. BAYLEY DYNASTY TRUST U/A DATED OCTOBER 11, 2012 | DE | SHAREHOLDER | C | Control |
| THE FRANK M. BAYLEY DYNASTY TRUST U/A DATED OCTOBER 11, 2012 | DE | SHAREHOLDER | C | Control |
| THE FRANK M. BAYLEY DYNASTY TRUST U/A DATED OCTOBER 11, 2012 | DE | SHAREHOLDER | C | Control |
| BAYLEY, FRANK MOUNT | I | SHAREHOLDER | B | Control |
| BAYLEY, FRANK MOUNT | I | SHAREHOLDER | B | Control |
| BAYLEY, FRANK MOUNT | I | SHAREHOLDER | B | Control |
| BAYLEY, FRANK MOUNT | I | SHAREHOLDER | B | Control |
| BAYLEY, FRANK MOUNT | I | SHAREHOLDER | B | Control |
| BAYLEY, FRANK MOUNT | I | SHAREHOLDER | B | Control |
| BAYLEY, FRANK MOUNT | I | SHAREHOLDER | B | Control |
| BAYLEY, FRANK MOUNT | I | SHAREHOLDER | B | Control |
| BAYLEY, FRANK MOUNT | I | SHAREHOLDER | B | Control |
| BAYLEY, LOWRY HINCH | I | CHAIRMAN OF THE BOARD | B | Control |
| BAYLEY, LOWRY HINCH | I | CHAIRMAN OF THE BOARD | B | Control |
| BAYLEY, LOWRY HINCH | I | CHAIRMAN OF THE BOARD | B | Control |
| WOLFRUM, SCOTT THOMAS | I | SHAREHOLDER | B | Control |
| WOLFRUM, SCOTT THOMAS | I | DIRECTOR | B | Control |
| WOLFRUM, SCOTT THOMAS | I | DIRECTOR | B | Control |
| WOLFRUM, SCOTT THOMAS | I | DIRECTOR | B | Control |
| WOLFRUM, SCOTT THOMAS | I | SHAREHOLDER | B | Control |
| WOLFRUM, SCOTT THOMAS | I | DIRECTOR | B | Control |
| WOLFRUM, SCOTT THOMAS | I | DIRECTOR | B | Control |
| WOLFRUM, SCOTT THOMAS | I | SHAREHOLDER | B | Control |
| WOLFRUM, SCOTT THOMAS | I | DIRECTOR | B | Control |
| WOLFRUM, SCOTT THOMAS | I | DIRECTOR | B | Control |
| WOLFRUM, SCOTT THOMAS | I | DIRECTOR | B | Control |
| BONO, THOMAS ALLEN | I | VP/DIRECTOR | A | Control |
| BONO, THOMAS ALLEN | I | EVP/DIRECTOR/VICE-CEO | A | Control |
| BONO, THOMAS ALLEN | I | VP/DIRECTOR/VICE-CEO | A | Control |
| BONO, THOMAS ALLEN | I | VP/DIRECTOR | A | Control |
| BONO, THOMAS ALLEN | I | VP/DIRECTOR | A | Control |
| BONO, THOMAS ALLEN | I | VP/DIRECTOR/VICE-CEO | A | Control |
| BONO, THOMAS ALLEN | I | VP/DIRECTOR/VICE-CEO | A | Control |
| BONO, THOMAS ALLEN | I | EVP/DIRECTOR/VICE-CEO | A | Control |
| BONO, THOMAS ALLEN | I | EVP/DIRECTOR/VICE-CEO | A | Control |
| LAZER, RICHARD IRWIN | I | EVP/DIRECTOR | A | Control |
| LAZER, RICHARD IRWIN | I | VP/DIRECTOR | A | Control |
| LAZER, RICHARD IRWIN | I | VP/DIRECTOR | A | Control |
| LAZER, RICHARD IRWIN | I | VP/DIRECTOR | A | Control |
| VICK, MICHAEL DAVID | I | VICE-CHAIRMAN | A | Control |
| VICK, MICHAEL DAVID | I | VICE-CHAIRMAN | A | Control |
| VICK, MICHAEL DAVID | I | VICE-CHAIRMAN | A | Control |
| VICK, MICHAEL DAVID | I | VICE-CHAIRMAN | A | Control |
| VICK, MICHAEL DAVID | I | VICE-CHAIRMAN | A | Control |
| VICK, MICHAEL DAVID | I | VICE-CHAIRMAN | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| WOLFRUM, SCOTT THOMAS | I | NOYES GROUP, LLC | F | Control |
| BAYLEY, MARK F | I | FRANK M BAYLEY DYNASTRY TRUST | D | Control |
| BAYLEY, MARK F | I | FRANK M BAYLEY DYNASTRY TRUST | D | Control |
| BAYLEY, MARK F | I | FRANK M BAYLEY DYNASTRY TRUST | D | Control |
| BAYLEY, MARK F | I | FRANK M BAYLEY DYNASTRY TRUST | D | Control |
| BAYLEY, MARK F | I | FRANK M BAYLEY DYNASTRY TRUST | D | Control |
| BAYLEY-YOUNG, CHERYL A | I | FRANK M BAYLEY DYNASTRY TRUST | D | Control |
| BAYLEY-YOUNG, CHERYL A | I | FRANK M BAYLEY DYNASTRY TRUST | D | Control |
| BAYLEY-YOUNG, CHERYL A | I | FRANK M BAYLEY DYNASTRY TRUST | D | Control |
| BAYLEY-YOUNG, CHERYL A | I | FRANK M BAYLEY DYNASTRY TRUST | D | Control |
| BAYLEY-YOUNG, CHERYL A | I | FRANK M BAYLEY DYNASTRY TRUST | D | Control |
| THE FRANK M. BAYLEY DYNASTY TRUST U/A DATED OCTOBER 11, 2012 | DE | NOYES GROUP, LLC | C | Control |
Registrations
Federal
IA
Oct 5, 2012 REGISTERED
Notice Filings (30)
AZ CA CO CT DE FL GA IA IL IN KY LA MD MI MN MO NC NJ NM NV NY OH PA SC SD TX UT VA VT WI
Address
209 S. LASALLE STREET12TH FLOOR
CHICAGO, IL 60604-1203
United States
Phone: 312-782-0400