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Edward Robert Norwick

CRD# 1215141·Registered 1986 - 1987
Previously Registered: Being a previously registered professional could mean that Edward 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.

Professional Summary

Edward Robert Norwick was a registered financial advisor. Edward was a previously registered financial professional and started their career in finance 1986 - 1987. Edward had worked at 5 firms and has passed the Series 63, Series 7 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

40 years in the financial services industry

Current & Past Employments

NORTH AMERICAN INVESTMENT CORP.·CRD# 7568
BD
October 14, 1987 - December 24, 1987
BAIRD, PATRICK & CO., INC.·CRD# 1149
BD
Fairfield, NJ
February 27, 1987 - October 16, 1987
YORK SECURITIES, INC.·CRD# 8056
BD
New York, NY
January 2, 1987 - March 2, 1987
KUREEN & COOPER, INC.·CRD# 2488
BD
October 8, 1986 - February 18, 1987
VANDERBILT SECURITIES, INC.·CRD# 14280
BD
September 24, 1986 - October 1, 1986

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Current Firm

NA
NORTH AMERICAN INVESTMENT CORP.

NORTH AMERICAN INVESTMENT CORP.

CRD#: 7568 / SEC#: 8-22366
BD
Cancelled by FINRA on 09/13/1991

Contact Information

Established

Connecticut since 09/19/1977

Firm Type

Corporation

Fiscal Year End

March

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1986About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Sep 1986About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Oct 1986About the Series 4 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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