RN
Richard Norris
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CRD#: 1240660
RN
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.
Richard Norris, who also goes by Richard Edward Norris, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 20 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Richard Edward Norris
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
May 15, 2018 - June 7, 2019
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
May 15, 2018 - June 7, 2019
OSAIC SERVICES, INC.
BD
CRD#: 133763
SCOTTSDALE, AZ
Past
May 15, 2018 - June 7, 2019
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
May 15, 2018 - June 7, 2019
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
June 17, 2014 - May 7, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHANDLER, AZ
Past
March 26, 2012 - January 17, 2013
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
PHOENIX, AZ
Past
May 6, 2010 - June 30, 2010
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
PHOENIX, AZ
Past
January 5, 2010 - April 8, 2010
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
MESA, AZ
Past
January 22, 2007 - January 9, 2008
AUGUSTAR DISTRIBUTORS, INC.
BD
CRD#: 41081
CINCINNATI, OH
Past
August 4, 2006 - January 25, 2007
PEAK SECURITIES CORPORATION
BD
CRD#: 107907
LARGO, FL
Past
January 3, 2005 - January 27, 2006
GCC-PROSPECT CORPORATION
BD
CRD#: 124728
FAIRFAX, VA
Past
June 16, 2004 - December 2, 2004
INTEGRITY FUNDS DISTRIBUTOR, LLC
BD
CRD#: 26293
MINOT, ND
Past
December 15, 1999 - June 3, 2004
ALLIANZ LIFE FINANCIAL SERVICES, LLC
BD
CRD#: 612
MINNEAPOLIS, MN
Past
February 18, 1999 - November 10, 1999
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
March 8, 1996 - March 9, 1999
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
December 4, 1989 - December 8, 1995
OCC DISTRIBUTORS LLC
BD
CRD#: 18541
NEW YORK, NY
Past
May 19, 1988 - December 15, 1990
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
February 24, 1986 - October 14, 1987
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
Past
March 29, 1985 - January 20, 1986
CARDELL & ASSOCIATES, INCORPORATED
BD
CRD#: 7700
Past
February 24, 1984 - March 29, 1985
MORGAN STANLEY DW INC.
BD
CRD#: 7556
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
WOODBURY FINANCIAL SERVICES, INC.
0 | OPTIMIZE WEALTH STRATEGIES | ON TRACK FINANCIAL | OMADA FINANCIAL | OGLE WEALTH MANAGEMENT | OAK BROOK WEALTH MANAGEMENT | O'MALLEY WEALTH MANAGEMENT | NPB FINANCIAL | NORTHSTAR FINANCIAL SERVICES | NORTHPOINT FINANCIAL GROUP | NORTHEAST VALLEY FINANCIAL | NICOLAS JOHN FINANCIAL | NEXT PHASE FINANCIAL | NEW THOUGHT FINANCIAL GROUP | NCN FINANCIAL GROUP | NATIONAL WEALTH NETWORK | NATIONAL FINANCIAL ADVISORS | MY FINANCIAL TRAINER | MURPHY FINANCIAL SERVICES | MPC ADVISERS | MORGAN ADVISOR GROUP | MONTALBO FINANCIAL SERVICES | MONEY WISE PLANNING GROUP | MINKOFF CAPITAL | MINDFUL WEALTH ADVISORS | MENDHAM WEALTH MANAGEMENT | MENDAM WEALTH MANAGEMENT | MARTING FINANCIAL | MARTIN TAX & FINANCIAL SERVICES | MARTIN SHAPIRO FINANCIAL SERVICES | MARK SCHLAFER & CO. | MARATHON WEALTH & PROTECTION STRATEGIES | MACY WEALTH MANAGEMENT | LUNIN-PACK & FERRO FINANCIAL GROUP | LOVELACE AND HULLUM FINANCIAL GROUP | LOOKING GLASS FINANCIAL | LIQD INVESTMENTS | LIQD | LINDBERG FINANCIAL GROUP | LINDBERG FINANCIAL | LIFEWEALTH PRINCIPLES, LLC | LIFEWEALTH PLANNING GROUP | LENIUS FINANCIAL SERVICES | LEGACY WEALTH MANAGEMENT | LEGACY RETIREMENT PLAN SERVICES | LEGACY PREMIER ADVISORS | LEGACY PLANNING GROUP | LEGACY INVESTMENT SERVICES INC. | LEGACY INVESTMENT SERVICES | LAWRENCE E. EMMONS, CLU, CHFC, INVESTMENT ADVISORREPRESENTATIVE | LARSON FINANCIAL ADVISORS | KNOX FINANCIAL ADVISING | KHS WEALTH AND INSURANCE SERVICES | KELLER WEALTH | KAS INVESTMENT SERICES, INC. | K AND L PLANNING LLC | JONES INVESTMENT GROUP | INVESTMENT COMPONENT | INTEGRITY WEALTH SERVICES | INTEGRITY FIRST FINANCIAL | INCOME ADVISOR TEAM | HUTTON WEALTH MANAGEMENT | HUBER FINANCIAL GROUP | HIBBARD & RUBY WEALTH MANAGEMENT | HERSHEY INVESTMENTS | HEIKE WEALTH MANAGEMENT | HEDRICK WEALTH MANAGEMENT GROUP | HAVEN POINT WEALTH | HART FINANCIAL GROUP | HANNES FINANCIAL SERVICES | HADLEY FINANCIAL | GUIDED PATH FINANCIAL SERVICES & RETIREMENT PLANNING | GUIDANCE ADVISORS | GRIFFIN FINANCIAL LLC | GREYSTONE CAPITAL PARTNERS GROUP | GHJ FINANCIAL GROUP | GCG ADVISORY PARTNERS | GATEWAY CAPTIAL ADIVSORS | FPG PRIVATE WEALTH ADVISORS | FORTIS INVESTORS, INC. | FOCUS INVESTMENT SERVICES | FIRST MATE FINANCIAL ADVISORS | FINANCIAL PLANNING AND WEALTH MANAGEMENT | FINANCIAL PARTNERS GROUP | FINANCIAL DESIGN CENTER | FERDINANDSEN FINANCIAL GROUP | FERD GARCIA WEALTH MANAGEMENT | FELICIANO FINANCIAL GROUP | FAIRLEY WEALTH MANAGEMENT | EXPEDITION WEALTH MANAGEMENT | ETHOS WEALTH PLANNING | ETERNAL WEALTH MANAGEMENT | ERICKSON FINANCIAL ADVISORS | ENVISION RETIREMENT MANAGEMENT | ENGAGE FINANCIAL GROUP | EMPLOYER 401(K) SOLUTIONS | ELEKTRON WEALTH MANAGEMENT | DRESSLER FINANCIAL SERVICES | DOUGHTY FINANCIAL GROUP | DOTY FINANCIAL SOLUTIONS | DEMERY WEALTH ADVISORS | DECISION CAPITAL | DEAN FINANCIAL PLANNING SOLUTIONS | D&L FINANCIAL ADVISORS | CUI WEALTH MANAGEMENT | CUE FINANCIAL OF OKLAHOMA | CROSSBRIDGE WEALTH MANAGEMENT | CROSS FINANCIAL | CROMER FAMILY FINANCIAL | CREATIVE FINANCIAL GROUP | COTTON MILL ADVISORS | CORNERSTONE WEALTH MANAGEMENT | CONSULTANTS IN WEALTH MANAGEMENT | CONKIN FINANCIAL GROUP | COMPREHENSIVE WEALTH SOLUTIONS | COLLABORATIVE WEALTH STRATEGIES | CML WEALTH MANAGEMENT | CLEAR FINANCIAL NETWORK | CLEAR DIRECTION INVESTMENTS | CIRCLE CITY WEALTH ADVISORS | CHRIS RHYNE FINANCIAL MANAGEMENT | CENTERPOINT FINANCIAL SERVICES | CAPITAL HARVEST WEALTH PARTNERS | CALDERWOOD FINANCIAL STRATEGIES | BUNKER FINANCIAL SOLUTIONS | BULLISH BAER | BRUCE GEIGER WFS | BROOKSTONE WEALTH STRATEGIES | BRACKER WEALTH MANAGEMENT | BLUEBIRD WEALTH PARTNERS | BLUE PACIFIC ADVISORS | BETTINGER FINANCIAL | BERNSTEIN FINANCIAL GROUP | BARTHEN FINANCIAL & INSURANCE SERVICES | BARNAS FINANCIAL | AVENTURINE WEALTH MANAGEMENT | ATRIUM WEALTH ADVISORS | ATLAS FINANCIAL PLANNING | AMEV INVESTORS, INC. | AMERICAN FINANCIAL SERVICES | ALPINE PLANNING GROUP | ALPINE FINANCIAL PLANNING GROUP | ALPHA WEALTH ADVISORS, LLC | ALLIANCE FINANCIAL SERVICES INVESTMENT AND RETIREMENT ADVISORS | ALLIANCE FIANNCIAL SERVICES | ALLEN FINANCIAL ADVISEMENT | ADVANCED CAPITAL STRATEGIES | ADVANCE FINANCIAL SERVICES | 3RD COAST FINANCIAL...
CRD#: 421 / SEC#: 801-54905, 8-13846
BD
Terminated by SEC on 03/24/2024
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Contact information
Main Address
7755 3rd Street North, Oakdale, MN 55128
Mailing Address
P.o. Box 64284, St. Paul, MN 55164-0284
Phone number
(800) 800-2638
Established
Minnesota since 03/15/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
3,002
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC, INC. | SHAREHOLDER | |
| COONEY, JOHN MICHAEL | SVP, CHIEF COMPLIANCE OFFICER | 1326757 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FERGESEN, RICHARD DAVID | CEO, PRESIDENT, DIRECTOR | 717938 |
| GERB, JASON | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HODGE, TIMOTHY ROBERT | CHIEF OPERATIONS OFFICER | 2220910 |
| NORTHRIP, IRYNA YAKOVLEVNA | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | 6466657 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Regulatory assets under management
| Total Number of Accounts | 101,950 |
| AUM (Assets Under Management) | $ 19,278,448,046 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 10 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/26/2024 |
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.
