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NM

Norman M. Merz

Some features on this profile are disabled
CRD#: 1046258
NM

Professional summary

Norman Mathias Merz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Norman is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Norman had worked at 7 firms, which includes FIRST MIDWEST SECURITIES INC., AEGON USA SECURITIES INC., INNOVATIVE SECURITIES INC., DECADE SECURITIES CORP., ASKAR CORP., DIMENSION SECURITIES LTD., WOODBURY FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Norm Merz

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 17, 1995 - December 1, 1998

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
BLOOMINGTON, IL
Past

January 29, 1990 - February 28, 1995

AEGON USA SECURITIES INC.

BD
CRD#: 13302
CEDAR RAPIDS, IA
Past

August 1, 1989 - February 3, 1990

INNOVATIVE SECURITIES, INC.

BD
CRD#: 24097
WAUWATOSA, WI
Past

September 24, 1987 - February 6, 1990

DECADE SECURITIES CORP.

BD
CRD#: 10226
BROOKFIELD, WI
Past

July 22, 1985 - September 30, 1987

ASKAR CORP.

BD
CRD#: 7512
Past

May 10, 1983 - May 29, 1985

DIMENSION SECURITIES, LTD.

BD
CRD#: 8730
Past

February 28, 1983 - August 4, 1983

AEGON USA SECURITIES INC.

BD
CRD#: 13302
Past

July 14, 1982 - August 3, 1982

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/21/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/17/1984
General Securities Representative Examination
General Industry/Product Exam
RR
Series 2
Date: 11/23/1965
Non-Member General Securities Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/10/1984
General Securities Principal Examination

Current Firm

FM
FIRST MIDWEST SECURITIES, INC.
ABLESTRONG SECURITIES, INC. | FMSI ADVISERS | FIRST MIDWEST SECURITIES, INC.

CRD#: 21786 / SEC#: 801-67749, 8-38139

BD
Cancelled by SEC on 09/28/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Wisconsin since 03/02/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

FMSI BROCHURE 20141111 (3/26/2015)

Direct owners and executive officers

NamePositionCRD#
THE INVESTMENT CO., INC.HOLDING CORP.
CROSSON, GORDON SCOTTRIA CCO/AML CO1068512
LINNA, JAMESCHAIRMAN/CEO0252013/MUNI PRINCIPAL 11/2014733321
SUTTON, KELLYOPERATIONS PRINCIPAL/VP/COO/ROSFP-OPTIONS MANAGER/CCO2033974
TRACTENBERG, ELIZABETH MARIEFINOP4577334

Disclosures

Regulatory Event9
Arbitration3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

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