Norman E. Mains
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 Ellsworth Mains was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1983. Norman had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 5 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
November 19, 2010 - August 5, 2015
ALPS DISTRIBUTORS, INC.
June 24, 2004 - June 18, 2009
MORGAN STANLEY & CO. LLC
April 7, 1994 - March 7, 1995
JOSEPHTHAL & CO., INC.
March 18, 1991 - January 18, 1994
RODMAN & RENSHAW INC.
September 4, 1990 - January 21, 1991
WELLS FARGO CLEARING SERVICES, LLC
May 17, 1988 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
February 24, 1983 - May 23, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
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 5
Date: 4/24/1984
Interest Rate Options ExaminationCurrent Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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