John W. Norman
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 Warren Norman JR, who also goes by John Warren (jr) Norman, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 5 firms and has passed the Series 63, Series 7, Series 6, Series 28, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 1995 - October 2, 2001
CI INVESTMENTS, INC.
March 1, 1994 - February 24, 1995
CONSUMER CONCEPTS INVESTMENTS, INC.
October 10, 1991 - December 16, 1993
A. B. CULBERTSON AND COMPANY
April 10, 1989 - October 2, 1991
TEXAS METHODIST DEVELOPMENT FUND, INC.
November 5, 1982 - June 30, 1983
AMERIPRISE FINANCIAL SERVICES, 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
Series 28
Date: 9/26/1995
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
CI INVESTMENTS, INC.
CRD#: 38173 / SEC#: , 8-48141
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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