Paula L. Norby
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.
Paula Leronne Norby, who also goes by Paul Leinweber, Paula L Leinweber, Paul Leronne Norby, Paula Leinweber Norby, Paula Tinsley Norby, Paul L Tinsley, Paula L Tinsley, Paula Leinweber Tinsley, was a registered financial professional .
Paula is a previously registered financial professional and started their career in finance in 1983. Paula had worked at 10 firms and has passed the Series 66, Series 63, Series 65, SIE, 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
June 1, 2009 - August 2, 2017
MORGAN STANLEY
June 1, 2009 - August 2, 2017
MORGAN STANLEY
September 4, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 28, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 15, 2005 - May 12, 2005
CITIGROUP GLOBAL MARKETS INC.
November 29, 2000 - February 27, 2003
CITIGROUP GLOBAL MARKETS INC.
April 2, 1998 - December 17, 1998
BB&T INVESTMENT SERVICES, INC.
August 26, 1996 - April 17, 1998
CITIGROUP GLOBAL MARKETS INC.
August 10, 1995 - August 27, 1996
BB&T INVESTMENT SERVICES OF SOUTH CAROLINA, INC.
July 3, 1995 - July 23, 1996
BB&T INVESTMENT SERVICES, INC.
January 12, 1993 - July 3, 1995
SOUTHERN NATIONAL INVESTMENT SERVICES, INC.
January 6, 1992 - December 31, 1992
SOUTHERN FINANCIAL GROUP, INC.
September 10, 1991 - January 7, 1992
FIRST UNION BROKERAGE SERVICES, INC.
March 31, 1990 - October 5, 1990
PLANNED MANAGEMENT COMPANY
August 6, 1986 - January 30, 1989
FIRST TRYON SECURITIES, INC.
November 23, 1983 - August 15, 1986
J.C. BRADFORD & CO.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
Current Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
