Norman D. Pitman

N.D. PITMAN & COMPANY

MOBILE, AL 36608

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CRD#: 1081645

Professional summary

Norman Duplessis Iii Pitman, CFP® is a registered financial advisor currently at N.D. PITMAN & COMPANY, INC. located in Mobile, Alabama.

Norman is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Norman has worked at 2 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Norman Duplessis Iii Pitman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1991

Experience

Current

July 1, 1999 - Present

N.D. PITMAN & COMPANY, INC.

Office #1: 3800 Airport Boulevard Suite 306, Mobile, AL 36608

RIA

CRD#: 121180

MOBILE, AL

Past

July 1, 1999 - December 31, 2002

N.D. PITMAN & COMPANY, INC.

RIA

CRD#: 121180

MOBILE, AL

Past

December 22, 1982 - November 14, 1983

SIGNATOR INVESTORS, INC.

CRD#: 468

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

N.D. PITMAN & COMPANY, INC.

CRD#: 121180 / SEC#: 801-64499

RIA

Registered Investment Advisory firm - (7/12/2005 Approved)

Alabama

Registered Investment Advisory firm - (7/20/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Alabama
(7/1/1999)

IAR

Louisiana
(12/3/2012)

IAR

Texas
(4/21/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/9/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 12/21/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

N.D. PITMAN & COMPANY, INC.

CRD#: 121180 / SEC#: 801-64499

RIA

Registered Investment Advisory firm - (7/12/2005 Approved)

Alabama

Registered Investment Advisory firm - (7/20/2005 Terminated)

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Contact information

Main Address

3800 Airport Blvd Suite 306, Mobile, AL 36608

Mailing Address

Phone number

(251) 345-7748

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A: FIRM BROCHURE & PART 2B: BROCHURE SUPPLEMENT (3/31/2025)

Regulatory assets under management

Total Number of Accounts	297
AUM (Assets Under Management)	$ 160,389,407

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.

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Norman D. Pitman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Norman Duplessis Iii Pitman's CRS (Customer Relationship Summary).

Certified licenses

Experience

N.D. PITMAN & COMPANY, INC.

N.D. PITMAN & COMPANY, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

N.D. PITMAN & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/9/1991

Series 6

Date: 12/21/1982

Current Firm

N.D. PITMAN & COMPANY, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

N.D. PITMAN & COMPANY, INC.

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