Norman J. Spencer
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 James Spencer JR, who also goes by Norm Peterson, Norman James Spencer, was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1984. Norman had worked at 13 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 1997 - September 22, 1998
WALL STREET FINANCIAL GROUP, INC.
January 16, 1996 - February 12, 1996
R.M. DUNCAN SECURITIES, INC.
September 28, 1993 - June 1, 1994
BARRON CHASE SECURITIES, INC.
April 20, 1993 - September 8, 1993
THE WELLINGTON GROUP, INC.
June 2, 1992 - October 27, 1992
H.J. MEYERS & CO., INC.
May 25, 1990 - March 1, 1991
ROBERT TODD FINANCIAL CORP.
September 11, 1989 - March 14, 1990
LEHMAN BROTHERS INC.
January 12, 1989 - October 4, 1989
J F LOWE & COMPANY INCORPORATED
September 2, 1988 - December 13, 1988
GREENTREE SECURITIES CORP.
March 10, 1988 - July 16, 1988
BROWNSTONE-SMITH SECURITIES CORP.
March 16, 1987 - January 6, 1988
J. T. MORAN & CO., INC.
June 4, 1986 - March 25, 1987
THOMSON MCKINNON SECURITIES INC.
August 21, 1984 - May 21, 1986
BLINDER, ROBINSON & CO., 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
Current Firm
WALL STREET FINANCIAL GROUP, INC.
CRD#: 35830 / SEC#: 801-58292, 8-46964
Contact information
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
