Norman W. Feckl
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 Walter Feckl was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1988. Norman had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 7 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
February 11, 2013 - March 11, 2015
COWEN PRIME SERVICES LLC
October 9, 2002 - April 15, 2011
HBK GLOBAL SECURITIES L.P.
May 24, 1999 - August 16, 2001
CITADEL TRADING GROUP L.L.C.
May 24, 1999 - August 16, 2001
ARAGON INVESTMENTS, LTD.
December 2, 1997 - April 5, 1999
MAPLE SECURITIES U.S.A. INC.
June 17, 1996 - January 30, 1997
DB ALEX. BROWN LLC
May 5, 1993 - February 7, 1997
PALOMA SECURITIES L.L.C.
October 12, 1988 - August 24, 1990
LEHMAN BROTHERS 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 55
Date: 5/26/2000
Limited Representative-Equity Trader ExamCurrent Firm
COWEN PRIME SERVICES LLC
CRD#: 153397 / SEC#: , 8-68531
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
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.
