John S. Notman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Shaw Notman was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2012 - December 31, 2015
DBA NOTMAN FINANCIAL GROUP
August 26, 2003 - August 25, 2006
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
March 31, 2003 - September 17, 2012
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
July 8, 1997 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
April 15, 1997 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
March 21, 1995 - February 28, 1997
MORGAN STANLEY DW INC.
January 15, 1990 - February 22, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 28, 1986 - January 25, 1990
UBS FINANCIAL SERVICES INC.
June 5, 1984 - August 29, 1986
PRUDENTIAL EQUITY GROUP, LLC
March 2, 1982 - July 9, 1984
LPL FINANCIAL LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DBA NOTMAN FINANCIAL GROUP
CRD#: 108959 / SEC#: 801-57979
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
