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NT

Norman V. Thomas

Some features on this profile are disabled
CRD#: 1243448
NT

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 Vann Thomas JR was a registered financial professional .

Norman is a previously registered financial professional and started their career in finance in 1984. Norman had worked at 3 firms and has passed the Series 63, Series 7 and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

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®
None

Experience

Past

January 29, 2013 - May 22, 2014

RIDGEWAY & CONGER, INC.

BD
CRD#: 113055
NEW WOODSTOCK, NY
Past

October 31, 2007 - December 31, 2012

REGAL SECURITIES, INC.

BD
CRD#: 7297
MEMPHIS, TN
Past

March 6, 1984 - March 13, 2007

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

BD
CRD#: 6950
MEMPHIS, TN

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
RR
Series 63
Date: 3/13/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/15/1986
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 3/2/1984
Municipal Securities Representative Examination

Current Firm

R&
RIDGEWAY & CONGER, INC.
AMES INVESTMENT & RETIREMENT | WARD WEALTH MANAGEMENT | UPSTATE FINANCIAL CONSULTANTS | TRADE EAGLE CORPORATION | STRONGHEART FINANCIAL | STRATUM FINANCIAL | STRATEGIC FINANCIAL PLANNING | SK CAPITAL MANAGEMENT CONULTANTS, INC. | SILVASOFT | RUSSO INVESTMENTS LLC. | ROBERT VANCE AND ASSOCIATES | RIDGEWAY & CONGER, INC. | PAIGEMICHAEL LLC | OAK FINANCIAL & RETIREMENT PLANNING INC. | MBS SOURCE | MAHTANI FINANCIAL GROUP | LEGACY WEALTH MANAGEMENT, LLC. | INVESTMENTS CONCEPTS | FAUBEL FINANCIAL GROUP | FAIRFIELD FINANCIAL GROUP INC | DISNEY INVESTMENT CO. | DAVIDOW FINANCIAL | BRISARD & BRISARD, INC. | BMB TRADING INC.

CRD#: 113055 / SEC#: , 8-53291

BD
Terminated by SEC on 07/10/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 02/02/2001
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CLAYTON LOWELL & CONGER, INC.OWNER
GARBER, LEIGH MCCOBBPRESIDENT, CEO2768572
GARBER, LEIGH MCCOBBCCO/COO
GARBER, LEIGH MCCOBBMUNI. PRIN./VP/SEC/TREAS/ROSFP2768572

Disclosures

Regulatory Event8
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

RIDGEWAY & CONGER, INC.

CRD#: 113055

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