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JN

John E. Norman

MUNICIPAL CAPITAL MARKETS GROUP
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 1157994
JN

Professional summary

John Edward Norman is a registered financial professional currently at MUNICIPAL CAPITAL MARKETS GROUP, INC. located in Greenwood Village, Colorado.

John is registered as a RR (Registered Representative) and started their career in finance in 1983. John has worked at 9 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 50, Series 7, Series 24 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view John Edward Norman'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®
None

Experience

Current

January 11, 2013 - Present

MUNICIPAL CAPITAL MARKETS GROUP, INC.

Office #1: 8400 E. Prentice Ave., Ste. 500, Greenwood Village, CO 80111
BD
CRD#: 107353
Greenwood Village, CO
Past

August 18, 2009 - November 6, 2009

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BD
CRD#: 16100
DENVER, CO
Past

August 18, 2009 - January 3, 2013

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
DENVER, CO
Past

June 20, 2000 - April 1, 2009

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
DENVER, CO
Past

March 4, 1998 - June 16, 2000

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

September 27, 1996 - March 17, 1998

PRINCIPAL FINANCIAL SECURITIES,INC.

BD
CRD#: 260
DALLAS, TX
Past

July 5, 1991 - September 5, 1996

SUTRO & CO. INCORPORATED

BD
CRD#: 801
SAN FRANCISCO, CA
Past

March 27, 1984 - June 18, 1991

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

July 21, 1983 - January 10, 1986

ANDERSON, DEMONBRUN, INC.

BD
CRD#: 8077

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(2/8/2013)
RR
California
(12/23/2015)
RR
Colorado
(1/11/2013)
RR
Kentucky
(1/18/2013)
RR
South Carolina
(5/9/2019)
RR
Tennessee
(11/16/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 6/20/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 2/8/2016
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 7
Date: 7/16/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/31/2002
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/28/2000
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MUNICIPAL CAPITAL MARKETS GROUP, INC.
MUNICIPAL CAPITAL MARKETS GROUP, INC.

CRD#: 107353 / SEC#: , 8-53038

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
5220 Spring Valley Rd., Ste. 522, Dallas, TX 75254
Mailing Address
5220 Spring Valley Rd., Ste. 522, Dallas, TX 75254
Phone number
(972) 386-0200
Established
Texas since 10/25/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CORNWALL, FREDERICK REIDPRESIDENT - CCO835429
HARLING, MICHAEL WILLIAMEXEC. V.P.1976368
ANDERSON, JAMES MARTINSR. VICE PRESIDENT850454
WOODLIFF, KAREN SU MCKEEPFO/POO4621874

Disclosures

Regulatory Event2

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.

Company Information

MUNICIPAL CAPITAL MARKETS GROUP, INC.

CRD#: 107353Greenwood Village, CO 80111

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