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Norman Grossman Werbner

CRD# 1226571·Registered 1983 - 2024
Previously Registered: Being a previously registered professional could mean that Norman 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

Norman Grossman Werbner was a registered financial advisor. Norman was a previously registered financial professional and started their career in finance 1983 - 2024. Norman had worked at 1 firm and has passed the Series 99TO, Series 79TO, SIE and Series 14 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

43 years in the financial services industry

Current & Past Employments

CERTIGROUP, INC·CRD# 14196
BD
Marathon, FL
November 30, 1983 - January 29, 2024

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Current Firm

CI
CERTIGROUP, INC

CERTIGROUP, INC | NORMAN WERBNER INVESTMENTS, INCORPORATED | CERTIGROUP, INC.

CRD#: 14196 / SEC#: 8-24784
BD
Terminated by SEC on 01/29/2024

Contact Information

Established

Texas since 02/28/1980

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
WERBNER, NORMAN GROSSMANPRESIDENT, CCO1226571

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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 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

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CRS (Client Relationship Summary)

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

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