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Noah Kendrick Allegedly Failed to Follow Instructions

Noah Kendrick (CRD #: 4642653), a broker registered with Raymond James Financial Services, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on December 9, 2023. Keep reading if you have questions regarding his alleged conduct as a broker. 

On September 7, 2023, an investor alleged that Noah Kendrick did not follow trading instructions. This alleged activity took place in July of 2023. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to follow trading instructions may violate this rule. 

Previous Dispute 

According to allegations filed on August 10, 2020, Noah Kendrick executed an unauthorized purchase of a structured product. This dispute was denied, but investors should know they can still recover losses following a denial. 

Background Information 

Noah Kendrick has passed the following exams:

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 
  • Series 10 General Securities Sales Supervisor – General Module Examination 
  • Series 9 General Securities Sales Supervisor – Options Module Examination 

He is a registered broker in 44 states. He is also a registered investment adviser in Arizona and Texas.

During his 20 years of experience, he has registered with four firms: 

  • Raymond James Financial Services (CRD #: 6694) 
  • Raymond James Financial Services Advisors (CRD #: 149018) 
  • Edward Jones (CRD #: 250) 
  • Northwestern Mutual Investment Services (CRD #: 2881) 

Kurta Law Can Help 

If you have worked with Noah Kendrick and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.