Norman H. Beck
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.
Norman Howard Beck JR, who also goes by Norman Howard (jr) Beck, was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1982. Norman had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2013 - January 7, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 11, 2003 - January 7, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 23, 2001 - April 23, 2003
SUMMIT BROKERAGE SERVICES, INC.
October 26, 2000 - January 16, 2001
RAFFERTY CAPITAL MARKETS, LLC
December 2, 1994 - October 27, 2000
SECURITIES SERVICE NETWORK, LLC
May 29, 1991 - December 12, 1994
PHILADELPHIA BROKERAGE CORPORATION
April 11, 1988 - June 13, 1991
LEHMAN BROTHERS INC.
November 4, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
October 20, 1982 - October 23, 1987
W.H. NEWBOLD'S SON & CO., INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
