Nora B. Foley
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.
Nora Bridget Foley, who also goes by Nora Bridget Simpson, was a registered financial professional .
Nora is a previously registered financial professional and started their career in finance in 1983. Nora had worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 14 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
February 26, 2003 - May 29, 2024
LEE FINANCIAL GROUP HAWAII, INC.
July 1, 1993 - January 30, 2024
LEE FINANCIAL SECURITIES, INC.
March 4, 1985 - November 28, 1992
RONEY & CO. L.L.C.
June 13, 1983 - March 25, 1985
FIRST NATIONAL SECURITITES CORPORATION
March 23, 1983 - May 4, 1983
UBS FINANCIAL SERVICES INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
LEE FINANCIAL GROUP HAWAII, INC.
CRD#: 104781 / SEC#: 801-33016
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,247 |
| AUM (Assets Under Management) | $ 226,326,709 |
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.
